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Agency Name:State Securities Board
Date of Meeting:01/24/2017
Time of Meeting:02:00 PM
Board:State Securities Board
Street Location:208 E. 10th Street, Room 320
City Location:Austin
State Location:TX
Status:Active
Date of Submission:01/13/2017
Additional Information Obtained From:John Morgan, Securities Commissioner, 208 E. 10th Street, Austin, Texas 78701, (512) 305-8301
Emergency Mtg:N
Agenda:1. Minutes of September 19, 2016, Board Meeting; Consider excused absence.

2. Rules.

A. Published Rule Proposal. Amendment to 109.7(e), concerning secondary trading exemption under the Texas Securities Act, Section 5.O, to define "recognized securities manual."

B. New Rule Proposal. Amendment to 139.25(f), concerning intrastate crowdfunding exemption, to raise the maximum offering amount when a segregated account may be used in lieu of an escrow account.

3. Board approval of a grant from the Investor Protection Trust for investor education purposes.

4. Recommendation from the Board's Audit Committee relating to the selection of an internal auditor for the FY 2017 audit, possibly followed by a vote selecting the internal auditor for FY 2017; annual selection of Audit Committee members.

5. Confirm designation of the Deputy Securities Commissioner.

6. Legislative update.

7. Report on budget and performance.

8. General update on Agency operations from Securities Commissioner and Senior Staff.

9. Executive Session to conduct a performance review of the Securities Commissioner.

10. Possible action on matters discussed in Executive Session.


Persons with disabilities who plan to attend this meeting and require auxiliary aids or services should contact Sonia Fergerson at (512) 305-8306 at least five business days prior to the meeting so that appropriate arrangements can be made.
TRD ID:2017000390
Datestamp:01/13/2017 09:06 AM
Archive Date:01/26/2017


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