Tex. Gov't Code Section 4007.107
Hearings on Certain Matters

(a)

A person or company may request a hearing to dispute the commissioner’s:

(1)

failure or refusal to:

(A)

register and issue a certificate of registration for a dealer or investment adviser under Section 4004.054 (Issuance of Registration Certificate); or

(B)

register and issue evidence of registration for an agent or investment adviser representative under Section 4004.104 (Issuance of Evidence of Registration);

(2)

issuance of an order under Section 4007.101 (Cease and Desist Order: Offer or Sale of Securities), 4007.102 (Cease and Desist Order: Investment Adviser or Investment Adviser Representative), 4007.103 (Cease Publication Order), or 4007.104 (Emergency Cease and Desist Order); or

(3)

taking of an action in any other particular matter for which no other procedure is specified by this title.

(b)

A hearing under Subsection (a) must be held before the commissioner or a hearings officer as required by law.

(c)

On complaint by a person aggrieved by the denial of a permit qualifying securities for sale under Subchapter A (Permit Required; Exceptions), Chapter 4003 (Securities), or by the failure or refusal to register securities under Subchapter B (Eligibility for Registration by Notification) or C, Chapter 4003 (Securities), the board or a hearings officer, as required by law, shall conduct a hearing.

(d)

A hearing under this section is subject to Chapter 2001 (Administrative Procedure).
Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171), Sec. 1.01, eff. January 1, 2022.

Source: Section 4007.107 — Hearings on Certain Matters, https://statutes.­capitol.­texas.­gov/Docs/GV/htm/GV.­4007.­htm#4007.­107 (accessed May 4, 2024).

4007.001
Enforcement by Commissioner, Attorney General, and District or County Attorney 4007.002
Means of Enforcement Not Exclusive 4007.051
Complaints Filed with Commissioner or Board 4007.052
Inspections 4007.053
Investigative Authority 4007.054
Service of Subpoena, Summons, or Other Process 4007.055
Enforcement of Subpoena 4007.056
Confidentiality of Investigative Information 4007.057
Compensation of Witnesses 4007.058
Imposition of Costs on Parties 4007.059
Assistance to Securities Regulators in Other Jurisdictions 4007.101
Cease and Desist Order: Offer or Sale of Securities 4007.102
Cease and Desist Order: Investment Adviser or Investment Adviser Representative 4007.103
Cease Publication Order 4007.104
Emergency Cease and Desist Order 4007.105
Denial, Suspension, or Revocation of Registration 4007.106
Assessment of Administrative Fine 4007.107
Hearings on Certain Matters 4007.108
Refund 4007.151
Receivership 4007.152
Injunctive Relief 4007.153
Equitable Relief and Restitution 4007.154
Civil Penalty 4007.155
Recovery of Costs 4007.201
Unauthorized Sale of Securities 4007.202
Unauthorized Rendering of Services as Investment Adviser or Investment Adviser Representative 4007.203
Fraudulent Conduct 4007.204
Materially False Statement in Document or Proceeding 4007.205
False Statement or Representation Concerning Registration 4007.206
Violation of Cease and Desist Order 4007.207
Noncompliant Offer or Offer Prohibited by Cease Publication Order 4007.208
Aggregation of Amounts 4007.209
Liability of Corporation
Green check means up to date. Up to date

Accessed:
May 4, 2024

§ 4007.107’s source at texas​.gov