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Open Meeting Archive

Agency Name:State Securities Board
Date of Meeting:09/22/2022
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:09/08/2022
Additional Information Obtained From:Travis J. Iles, Securities Commissioner 208 E. 10th Street, Austin, TX, 78701 (512)305-8301
Emergency Mtg:N
Agenda:
1. Minutes of May 12, 2022, Board Meeting; consider excused absences, if any.

2. Review of the internal audit report for FY 2022.

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

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

A. Forms.
1. The following new forms are being updated for consistency, to eliminate unneeded provisions, and make other nonsubstantive changes:
Form 133.2, Public Information Charges-Billing Detail;
Form 133.3, ADA Accommodations Request;
Form 133.4, Request for Consideration of a Registration Application by a Military Applicant;
Form 133.9, Notice Filing for Third Party Brokerage Arrangements on Financial Entity Premises;
Form 133.10, Investment Company Report of Sales in the State of Texas;
Form 133.11, Sales Report Form for Non-continuous Offerings;
Form 133.14, Consent of Independent Accountants;
Form 133.15, Texas Crowdfunding Portal Registration;
Form 133.19, Waiver or Refund Request by a Military Applicant;
Form 133.20, Texas Crowdfunding Portal Registration by an Authorized Small Business Development Entity;
Form 133.21, Crowdfunding Exemption Notice;
Form 133.22, Waiver or Refund Request by a Military Spouse for a Renewal Fee; and
Form 133.23, Request for Recognition of Out-Of-State License or Registration by a Military Spouse.
2. Repeal of current forms:
Form 133.2, Public Information Charges--Billing Detail;
Form 133.3, ADA Accommodations Request Form;
Form 133.4, Request for Consideration of a Registration Application by a Military Applicant;
Form 133.9, Notice Filing for Third Party Brokerage Arrangements on Financial Entity Premises;
Form 133.10, Investment Company Report of Sales;
Form 133.11, Sales Report Form for Non-Continuous Offerings;
Form 133.14, Consent of Independent Accountants;
Form 133.15, Texas Crowdfunding Portal Registration;
Form 133.19, Waiver or Refund Request by a Military Applicant;
Form 133.20, Texas Crowdfunding Portal Registration by an Authorized Small Business Development Entity;
Form 133.21, Crowdfunding Exemption Notice (SEC Rule 147A Offerings using 139.26);
Form 133.22, Waiver or Refund Request by a Military Spouse for a Renewal Fee; and
Form 133.23, Request for Recognition of Out-Of-State License or Registration by a Military Spouse.

5. Report on budget and performance.

6. Update on Agency operations.

7. Legislative matters.

8. Executive Session to conduct the annual performance review of the Securities Commissioner.

9. 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:2022005418
Datestamp:09/08/2022 01:11 PM
Archive Date:09/24/2022


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