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Independent Financial Group Returns to In-Person Events with Annual National Conference

Independent Financial Group Returns to In-Person Events with Annual National Conference
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SEC Investment Advisers: Texas says "April Fools!" to Federal Preemption? | Winstead PC

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On April 1, 2021, the Texas State Securities Board (TSSB) announced the entry of a Consent Order against an SEC registered investment adviser named Independent Financial Group, LLC (“Independent”). The TSSB’s action may represent a large shift in investment adviser regulation and enforcement considerations for SEC-registered investment advisers.
(Emphasis on “may.”)
The Investment Advisers Act of 1940 is commonly understood to significantly limit states’ application of their securities laws as to SEC registered investment advisers.
Specifically, Section 203A(b) of the Investment Advisers Act states that “No law of any State or political subdivision thereof requiring the registration, licensing, or qualification as an investment adviser…shall apply to any person” that is registered with the SEC. However, Section 203A(b) goes on to confirm that the preemption discussed in the subsection ....

United States , Financial Group , Texas State Securities Board , Consent Order , Independent Financial Group , Investment Advisers Act , Texas Securities Act , Narrow Reading , Broad Reading , Investment Adviser Act , Independent Consent Order , ஒன்றுபட்டது மாநிலங்களில் , நிதி குழு , டெக்சாஸ் நிலை பத்திரங்கள் பலகை , ஒப்புதல் ஆர்டர் , சுயாதீனமான நிதி குழு , டெக்சாஸ் பத்திரங்கள் நாடகம் , குறுகிய ரீடிஂக் ,

Texas State Securities Board Issues Consent Order Against SEC Investment Adviser

Texas State Securities Board Issues Consent Order Against SEC Investment Adviser
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United States , Financial Group , Texas State Securities Board , Consent Order , Independent Financial Group , Investment Advisers Act , Texas Securities Act , Narrow Reading , Broad Reading , Investment Adviser Act , Independent Consent Order , ஒன்றுபட்டது மாநிலங்களில் , நிதி குழு , டெக்சாஸ் நிலை பத்திரங்கள் பலகை , ஒப்புதல் ஆர்டர் , சுயாதீனமான நிதி குழு , டெக்சாஸ் பத்திரங்கள் நாடகம் , குறுகிய ரீடிஂக் ,