Texas Register Flag

Open Meeting Archive

Agency Name:State Securities Board
Date of Meeting:02/06/2020
Time of Meeting:10:00 AM
Board:Texas State Securities Board
Street Location:208 E. 10th Street, Room 320
City Location:AUSTIN
State Location:TX
Date of Submission:01/23/2020
Additional Information Obtained From:Travis J. Iles, Securities Commissioner 208 E. 10th Street Austin Texas 78701 (512) 305-8301
Emergency Mtg:N
1. Minutes of October 22, 2019, Board Meeting; consider excused absences, if any.

2. Rulemaking - Consideration of published rule proposals for adoption.

A. Sunset review implementation.
1. Recommendation 1.1 - Prosecutorial Assistance.
New 127.4. Prosecutorial Assistance.
2. Recommendation 1.5 - Complaint Process.
New Chapter 102. Complaint Process.
102.1. Policy.
102.2. Definitions.
102.3. Filing Complaints.
102.4. Processing of Complaints.
102.5. Prioritization of Complaint Investigations.
102.6. Complaint Resolution.
3. Recommendation 2.2 - Across-the-Board recommendation - Alternative Dispute Resolution.
New 127.2. Alternative Dispute Resolution.

B. Cybersecurity breach notification.
1. New 115.23, Cybersecurity Breach Notification.
2. New 116.23, Cybersecurity Breach Notification.

3. Rulemaking - Consideration of new rule proposal for publication and comment.
A. Amending 109.7(e), concerning secondary trading exemption under the Texas Securities Act, Section 5.O, to remove the S&P Capital IQ Standard Corporation Descriptions from the list of recognized manuals.

4. Rule review - Pursuant to the notice published December 6, 2019: Chapter 133. Forms.

5. Board acceptance of a grant from the Investor Protection Trust for investor education purposes.

6. Recommendation from the Board's Audit Committee related to the selection of an internal auditor for the FY 2020 audit, possibly followed by a vote selecting the internal auditor for FY 2020.

7. Report on budget and performance.

8. Update on Agency operations.

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:2020000500
Datestamp:01/23/2020 09:25 AM
Archive Date:02/08/2020

link to Texas Secretary of State Home page | link to Texas Register home page | link to Texas Administrative Code home page | link to Open Meetings home page