| (a) Registration by Qualification. A Regulation "A"
filing with the SEC is a form of exemption and cannot be the basis
for a filing for Registration by Coordination with the State Securities
Board. Such a registration should meet the requirements as outlined
in the sections of the Act concerning Registration by Qualification
or, if federal covered securities, the requirements in §114.4
of this title (relating to Filings and Fees).
(b) Registration by Coordination.
(1) Time to file. Applications for Registration by
Coordination should be filed contemporaneously with the SEC registration
application. Delayed filings will jeopardize coordination effectiveness.
Applications filed after effectiveness with the SEC are not eligible
to use Registration by Coordination.
(2) Who should file. Applications to register securities
of open-end investment companies and unit investment trusts subject
to the provisions of the Investment Company Act of 1940, the Securities
Act of 1933, and the Securities Exchange Act of 1934, will be considered
and treated as applications for Registration by Coordination, if the
securities are not federal covered securities as that term is defined
in §107.2 of this title (relating to Definitions). Filings and
fees relating to federal covered securities are addressed in Chapter
114 of this title (relating to Federal Covered Securities).
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| Source Note: The provisions of this §113.2 adopted to be effective January 1, 1976; amended to be effective July 17, 1978, 3 TexReg 2314; amended to be effective September 22, 1995, 20 TexReg 7187; amended to be effective April 8, 1997, 22 TexReg 3219; amended to be effective November 7, 1999, 24 TexReg 9607; amended to be effective April 7, 2024, 49 TexReg 2062 |
