Unauthorized Rendering of Services As Investment Adviser Or Investment Adviser Representative; Offense

Sec. 4007.202. UNAUTHORIZED RENDERING OF SERVICES AS INVESTMENT ADVISER OR INVESTMENT ADVISER REPRESENTATIVE; OFFENSE. (a) A person commits an offense if the person: (1) renders services as an investment adviser or investment adviser representative; and (2) is not registered as an investment adviser or investment adviser representative as required by this title. (b) An offense under this section is a felony of the third degree. Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff. January 1, 2022.