Open Meeting Archive
| Agency Name: | State Securities Board |
| Date of Meeting: | 02/23/2023 |
| 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: | 02/09/2023 |
| 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 September 22, 2022, Board Meeting; consider excused absences, if any. 2. Recommendation from the Board's Audit Committee related to the selection of an internal auditor for the FY 2023 audit, possibly followed by a vote selecting the internal auditor for FY 2023; annual selection of Audit Committee members. 3. Rule review - Readoptions. A. Pursuant to the notice published September 2, 2022: 1. Chapter 101, General Administration; 2. Chapter 103, Rulemaking Procedure; and 3. Chapter 104, Procedure for Review of Applications. B. Pursuant to the notice published December 2, 2022: 1. Chapter 113, Registration of Securities; 2. Chapter 114, Federal Covered Securities; 3. Chapter 123, Administrative Guidelines for Registration of Open-End Investment Companies; 4. Chapter 125, Minimum Disclosures in Church and Nonprofit Institution Bond Issues; 5. Chapter 135, Industrial Development Corporations and Authorities; and 6. Chapter 137, Administrative Guidelines for Regulation of Offers. 4. Rulemaking - Consideration of published rule proposals for adoption. 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. Rulemaking - Consideration of rule proposals for publication and comment. A. Nonsubstantive amendments in connection with rule review. 1. Chapter 101. General Administration. Amending §101.2(e) and (f), concerning classification of regulatory standards, to cite the codified Texas Securities Act and conform terminology. 2. Chapter 103. Rulemaking Procedure. Amending §103.6(c), concerning negotiated rulemaking, to add a missing word. 3. Chapter 104. Procedure for Review of Applications. Amending §104.2, concerning purpose, and §104.3, concerning definition of days, to improve clarity; and Amending §104.6(a), (b), and (f), concerning exceeding the time periods, to improve clarity and to cite the codified Texas Securities Act. 6. Report on budget and performance. 7. Update on Agency operations. 8. Legislative update. 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: | 2023000828 |
| Datestamp: | 02/09/2023 04:05 PM |
| Archive Date: | 02/25/2023 |
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