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Open Meeting Archive

Agency Name:State Securities Board
Date of Meeting:09/19/2016
Time of Meeting:09:15 AM
Board:State Securities Board
Street Location:208 E. 10th Street, Room 320
City Location:Austin
State Location:TX
Date of Submission:09/06/2016
Additional Information Obtained From:John Morgan, Securities Commissioner, 208 E. 10th Street, 5th Floor, Austin, Texas 78701, (512) 305-8301.
Emergency Mtg:N
Agenda:1. Minutes of May 24, 2016, Board Meeting.

2. Rules.

A. Published Rule Proposals.
1. Amending 115.19(c) and (e), concerning Texas Crowdfunding Portal Registration and Activities, to allow a registered Texas Crowdfunding Portal to establish a segregated account in lieu of an escrow account when the maximum offering amount is $100,000 or less.
2. Amending 139.25(f) and (j), concerning Intrastate Crowdfunding Exemption, to allow a segregated account to be used in lieu of an escrow account when the maximum offering amount is $100,000 or less.
B. New Rule Proposal.
1. Amendment to 109.7(e), concerning secondary trading exemption under the Texas Securities Act, Section 5.O, to define "recognized securities manual."

3. Board Pre-Approval of a Prospective Grant from the Investor Protection Trust for Investor Education Purposes.

4. Review of the Agency's Internal Audit Report for FY 2016.

5. Status Update on Use of the EFD System.

6. Legislative and Appropriations Update.

7. Report on Budget and Performance.

8. General Update on Agency Operations from Securities Commissioner and Senior Staff.

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:2016006076
Datestamp:09/06/2016 09:51 AM
Archive Date:09/21/2016

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