7 Tex. Admin. Code § 135.2

Current through Reg. 49, No. 45; November 8, 2024

Section 135.2 - Dealer and Agent Registration

Any person who acts as an agent of the issuer in connection with a sale to any prospective purchaser in a transaction exempt from securities registration by virtue of this section shall be registered as either a dealer or agent under the Texas Securities Act, as applicable.

The provisions of this §135.2 adopted to be effective November 7, 1999, 24 TexReg 9609