Texas State-Registered RIA Compliance
Compliance resources and tools tailored for state-registered investment advisors in Texas.
Regulatory Authority
Texas State Securities Board (TSSB)
Exam frequency: Every 4–6 years on average
Texas has no standard de minimis exemption. Only state to adopt the NASAA Marketing Rule (by reference to SEC rules, eff. March 2025).
Fee data: IARD IA Firm Fee Schedule (11/1/2025), IAR Fee Schedule (3/6/2026)
Key Texas Compliance Requirements
State-specific regulations that Texas RIAs must follow.
NASAA Model Rules
NASAA has adopted model rules covering custody, books & records, ethics, marketing, and more. Individual state adoption varies.
NASAA model rule adoption varies by state and is governed by each state's securities regulations. For Texas-specific adoption status, consult the Texas State Securities Board (TSSB). For verified adoption data across all states, see our State Adoption Tracker.
Texas Exam Preparation
Be ready when your state examiner schedules an inspection.
Document Preparation
Ensure all required books, records, and compliance documentation are organized and accessible.
Compliance Program Review
Verify your written compliance policies address all state-specific requirements.
Staff Training Records
Maintain documentation of ongoing compliance training for all advisory personnel.
Regulatory Filings
Confirm all state registration filings, amendments, and renewals are current.
Ready to simplify Texas compliance?
Compliance Approved helps Texas state-registered RIAs stay compliant with automated tracking and documentation.