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Open Meeting Archive

Agency Name:State Securities Board
Date of Meeting:05/19/2020
Time of Meeting:10:00 AM
Board:Texas State Securities Board
Street Location:Telephone Conference Meeting
City Location:Austin
State Location:TX
Date of Submission:05/05/2020
Additional Information Obtained From:Travis J. Iles, Securities Commissioner 208 E. 10th Street Austin TX 78701
Emergency Mtg:N
Teleconference 1-877-226-9790
Access Code 2050688

On March 16, 2020, the Governor temporarily suspended certain provisions of the Texas Open Meetings Act that require government officials and members of the public to be physically present at a specified meeting location. Pursuant to that suspension, the public will not be able to attend the Board meeting in person but may attend telephonically at no cost. To listen to the meeting, members of the public may call toll-free 1-877-226-9790 and enter access code 2050688.

The May 19th meeting of the State Securities Board will be held remotely by telephonic conference call, as authorized under Texas Government Code, Section 551.125. An electronic copy of the agenda will be available at https://www.ssb.texas.gov/about-us/agency-reports/state-securities-board-meetings, along with a copy of the meeting materials. A recording of the meeting will be available after May 19, 2020. To obtain a recording, please contact gc@ssb.texas.gov or call 512-305-8304.

Members of the public who would like to address the Board on an agenda item must register by calling 512-305-8304 or emailing proposal@ssb.texas.gov by 9:00 a.m. on the day of the meeting and provide their full name, phone number, and identify the agenda item they wish to speak on. You will be placed on a list and advised when it is your time to speak. All public comments at the telephonic meeting will be limited to three minutes. Members of the public may also submit written public comments to the Board via email at proposal@ssb.texas.gov.


1. Minutes of February 6, 2020, Board Meeting; consider excused absences, if any.

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

3. Rule review:
A. Pursuant to the notice published March 6, 2020:
1. Chapter 115. Securities Dealers and Agents.
2. Chapter 116. Investment Advisers and Investment Adviser Representatives.
B. Review and vote on adoption of a revised Rule Review Plan.

4. Review and vote to approve the internal audit plan for FY 2020.

5. Report on budget and performance.

6. 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:2020002319
Datestamp:05/05/2020 11:13 AM
Archive Date:05/21/2020

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