Performs on-site inspections of registered dealers/investment advisers to ensure compliance with the provisions of the Texas Securities Act. Job duties include analysis of documents and financial records obtained from inspections to determine compliance with the statutes and rules administered by the Texas State Securities Board. review of filings made by registered dealers/investment advisers. investigation of complaints filed against registered...
Performs on-site inspections of registered dealers/investment advisers to ensure compliance with the provisions of the Texas Securities Act. Job duties include analysis of documents and financial records obtained from inspections to determine compliance with the statutes and rules administered by the Texas State Securities Board. review of filings made by registered dealers/investment advisers. investigation of complaints filed against registered...
JOB DESCRIPTION. Work will involve the review and analysis of securities offerings as well as applications for registration by broker/dealers, investment advisers, agents, and investment adviser representatives to determine compliance with statutes and rules administered by the Texas State Securities Board. The position requires the financial examiner to review financial records and information contained on uniform forms and related documents to ...
Performs on-site inspections of registered dealers/investment advisers to ensure compliance with the provisions of the Texas Securities Act. Job duties include analysis of documents and financial records obtained from inspections to determine compliance with the statutes and rules administered by the Texas State Securities Board. review of filings made by registered dealers/investment advisers. investigation of complaints filed against registered...
Performs on-site inspections of registered dealers/investment advisers to ensure compliance with the provisions of the Texas Securities Act. Job duties include analysis of documents and financial records obtained from inspections to determine compliance with the statutes and rules administered by the Texas State Securities Board. review of filings made by registered dealers/investment advisers. investigation of complaints filed against registered...
Performs on-site inspections of registered dealers/investment advisers to ensure compliance with the provisions of the Texas Securities Act. Job duties include analysis of documents and financial records obtained from inspections to determine compliance with the statutes and rules administered by the Texas State Securities Board. review of filings made by registered dealers/investment advisers. investigation of complaints filed against registered...
Works with the attorneys in the General Counsel Division to provide legal advice to agency staff, including assisting staff in drafting, reviewing, and updating policies and procedures and forms and updates to the Employee manual. Rulemaking: assists in developing and drafting regulations and preparing filings with the. Texas Register. . Conducts or assists with legal research, including analysis of legislation, legislative history, and statutory...
