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Commission Decisions

Summaries of the Sunset Commission's June 22 decisions are now available. 

State Securities Board

Public Input Form

Assist us by providing your thoughts about problems and solutions for an agency.

Previous Sunset reports on this agency

  • Next Review Date: 2030-2031 Review Cycle - 92nd Legislative Session

  • Last Review Cycle: 2018-2019 Review Cycle - 86th Legislative Session

Sunset Documents for 2018-2019 Review Cycle, 86th Legislative Session

Legislative Documents

Final Results of Last Sunset Review

Continue

  • Continue the State Securities Board for 12 years.

Enforcement

  • Clarify statute to authorize the agency to provide prosecutorial assistance and require the agency to develop a process to determine staff resources available to support prosecutions.  Authorize the agency to reconsider the level of resources that can be provided to support a criminal case if a change occurs after the initial determination of resources.
  • Authorize the agency to order refunds for violations of agency statute or rules in both contested and uncontested cases.
  • Direct the agency to develop a penalty matrix for both administrative penalties and sanctions recommended for final enforcement actions, and to submit a brief report on the implementation of this recommendation to the Sunset Commission by March 15, 2019.  (Management action – nonstatutory)
  • Direct the board to develop and adopt rules describing all phases of its complaint process, and to submit a brief status report on the implementation of this recommendation to the Sunset Commission by March 15, 2019.  (Management action – nonstatutory)
  • Direct the agency to review its risk-based inspection tool at least every four years.  (Management action – nonstatutory)
  • Direct the agency to improve its tracking of complaint and case resolution timeframes, and to submit a brief status report on the implementation of this recommendation to the Sunset Commission by March 15, 2019.  (Management action – nonstatutory)

Licensing

  • Remove the requirement that branch offices be registered.
  • Direct the agency to accept online submissions of applications and fees, and to develop and present a detailed plan outlining how the agency will complete this recommendation to the Sunset Commission by March 15, 2019.  (Management action – nonstatutory)
  • Direct the agency to remove the notarization requirements on its forms by March 15, 2019. (Management action – nonstatutory)

Governance

  • Update and apply the standard across-the-board recommendations related to complaint information, alternative dispute resolution, and board member training, including training on anticompetitive board behavior.
  • Continue the agency’s statutory reporting requirement and require the agency to include information about the agency’s budget spent in supporting criminal prosecutions and the overall status of such cases.