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Open Meeting Archive

Agency Name:State Securities Board
Date of Meeting:05/12/2022
Time of Meeting:10:00 AM
Board:State Securities Board
Street Location:208 E. 10th Street, Room 320
City Location:Austin
State Location:TX
Status:Active
Date of Submission:04/28/2022
Additional Information Obtained From:Travis J. Iles, Securities Commissioner 208 E. 10th Street Austin, Texas (512) 305-8301
Emergency Mtg:N
Agenda:

1. Minutes of February 17, 2022, Board Meeting; consider excused absences, if any.

2. Review and vote to approve the internal audit plan for FY 2022.

3. Rulemaking - Consideration of rule proposals for publication and comment.

A. New 101.9, relating to Vendor Protest Procedures.

B. Forms.
1. The following new forms are being updated to add citations to the codified Texas Securities Act and make other nonsubstantive changes.
Form 133.5, Secondary Trading Exemption Notice;
Form 133.6, Secondary Trading Exemption Renewal Notice;
Form 133.7, Securities Application;
Form 133.12, Renewal Application for Mutual Funds and Other Continuous Offerings;
Form 133.13, Application for Renewal Permit;
Form 133.16, Texas Crowdfunding Portal Withdrawal of Registration;
Form 133.18, Certification of Balance Sheet by Principal Financial Officer;
Form 133.26, Request for Determination of Money Market Fund Status for Federal Covered Securities;
Form 133.27, Year-End Report of Sales of Federal Covered Securities by a Money Market Fund;
Form 133.29, Intrastate Exemption Notice;
Form 133.30, Information Concerning Projected Market Prices and Related Market Information;
Form 133.34, Undertaking Regarding Non-Issuer Sales; and
Form 133.36, Request for Reduced Fees for Certain Persons Registered in Multiple Capacities.
2. Repeal of current forms:
Form 133.5, Secondary Trading Exemption Notice;
Form 133.6, Secondary Trading Exemption Renewal Notice;
Form 133.7, Application for Registration of Securities;
Form 133.12, Renewal Application for Mutual Funds and Other Continuous Offerings;
Form 133.13, Application for Renewal Permit;
Form 133.16, Texas Crowdfunding Portal Withdrawal of Registration;
Form 133.18, Certification of Balance Sheet by Principal Financial Officer;
Form 133.26, Request for Determination of Money Market Fund Status for Federal Covered Securities;
Form 133.27, Year-End Report of Sales of Federal Covered Securities by a Money Market Fund (Pursuant to 123.3);
Form 133.29, Intrastate Exemption Notice;
Form 133.30, Information Concerning Projected Market Prices and Related Market Information;
Form 133.34, Undertaking Regarding Non-issuer Sales; and
Form 133.36, Request for Reduced Fees for Certain Persons Registered in Multiple Capacities.

4. Report on budget and performance.

5. 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:2022002555
Datestamp:04/28/2022 01:58 PM
Archive Date:05/14/2022


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