Texas Administrative Code
Title 7 - BANKING AND SECURITIES
Part 7 - STATE SECURITIES BOARD
Chapter 115 - SECURITIES DEALERS AND AGENTS
Section 115.7 - Maintenance and Inspection of Records
Current through Reg. 49, No. 12; March 22, 2024
(a) The Securities Commissioner, without notice, may inspect a registered dealer as necessary to ensure compliance with the Texas Securities Act and Board rules.
(b) The Commissioner or his or her authorized representative, during regular business hours, may:
(c) During the inspection, the dealer shall:
(d) A dealer may not charge a fee for copying information under this section.
(e) The Commissioner or his or her authorized representative may require that all records required to be maintained pursuant to Board rules or maintained in the normal course of business of the dealer be made available in any office of the State Securities Board designated by the Commissioner or his or her representative within 48 hours of a request or within a greater time period as the Commissioner or his or her authorized representative deems reasonable.