| (a) Assuming the appropriate exhibits and supplements
are filed, the State Securities Board will accept for filing the following "Uniform
Forms" in lieu of the requisite Texas form, if any.
(1) U-1. Uniform Application to Register Securities.
(2) U-2. Uniform Consent to Service of Process.
(3) U-4. Uniform Application for Securities Industry
Registration or Transfer.
(4) U-5. Uniform Termination Notice for Securities
Industry Registration.
(5) ADV. Uniform Application for Investment Adviser
Registration.
(6) BD. Uniform Application for Broker-Dealer Registration.
(7) USR-1. Investment Company Report of Sales.
(8) U-7. Small Company Offerings Registration Form
may be used as a disclosure guide when making a small company offering
of securities pursuant to an exemption under the Act or when making
small public offerings pursuant to the Act, Chapter 4003, Subchapter
A.
(9) NF. Uniform Investment Company Notice Filing.
(10) Model Accredited Investor Exemption Uniform Notice
of Transaction.
(11) BR. Uniform Branch Office Registration Form.
(12) Regulation A - Tier 2 form.
(13) Uniform Notice of Federal Crowdfunding Offering
(Form U-CF) form.
(14) U-6. Regulator Form U6 Filing.
(b) The following "Uniform Forms" may be
filed with this agency as appropriate.
(1) ADV-W. Notice of Withdrawal from Registration as
Investment Adviser.
(2) BDW. Uniform Request for Withdrawal from Registration
as a Broker-Dealer.
(3) ADV-E. Certificate of Accounting of Client Securities
and Funds in the Possession or Custody of an Investment Adviser.
(c) Section 109.13(k) of this title (relating to Limited
Offering Exemptions) and §114.4(b)(1) of this title (relating
to Filings and Fees) require the filing of a Form D, "Notice
of Exempt Offering of Securities."
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| Source Note: The provisions of this §133.33 adopted to be effective November 29, 1989, 14 TexReg 6079; amended to be effective April 21, 1995, 20 TexReg 2621; amended to be effective April 8, 1997, 22 TexReg 3228; amended to be effective December 2, 1997, 22 TexReg 11668; amended to be effective August 10, 2003, 28 TexReg 5992; amended to be effective January 8, 2006, 30 TexReg 8869; amended to be effective December 21, 2011, 36 TexReg 8513; amended to be effective December 23, 2018, 43 TexReg 8090; amended to be effective November 12, 2019, 44 TexReg 6870; amended to be effective November 14, 2024, 49 TexReg 8876 |
