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Texas Administrative Code

TITLE 7 BANKING AND SECURITIES
PART 7 STATE SECURITIES BOARD
CHAPTER 133 FORMS

Rules

§133.2 Public Information Charges--Billing Detail
§133.3 The State Securities Board Adopts by Reference the ADA Accommodations Request Form
§133.4 Request for Consideration of a Registration Application by a Military Applicant
§133.5 Secondary Trading Exemption Notice
§133.6 Secondary Trading Exemption Renewal Notice
§133.7 Application for Registration of Securities
§133.8 Consent to Service
§133.9 Notice Filing for Third Party Brokerage Arrangements on Financial Entity Premises
§133.10 Investment Company Report of Sales
§133.11 Sales Report for Non-continuous Offerings
§133.12 Renewal Application for Mutual Funds and Other Continuous Offerings
§133.13 Application for Renewal Permit
§133.14 Consent of Independent Accountants
§133.15 Texas Crowdfunding Portal Registration
§133.16 Texas Crowdfunding Portal Withdrawal of Registration
§133.18 Certification of Balance Sheet by Principal Financial Officer
§133.19 Waiver or Refund Request by a Military Applicant
§133.20 Texas Crowdfunding Portal Registration by an Authorized Small Business Development Entity
§133.21 Crowdfunding Exemption Notice (SEC Rule 147A Offerings using §139.26)
§133.22 Waiver or Refund Request by a Military Spouse for a Renewal Fee
§133.23 Request for Recognition of Out-Of-State License or Registration by a Military Spouse
§133.26 Request for Determination of Money Market Fund Status for Federal Covered Securities
§133.27 Year-End Report of Sales of Federal Covered Securities by a Money Market Fund (Pursuant to §123.3)
§133.29 Intrastate Exemption Notice
§133.30 Information Concerning Projected Market Prices and Related Market Information
§133.33 Uniform Forms Accepted, Required, or Recommended
§133.34 Undertaking Regarding Non-issuer Sales
§133.36 Request for Reduced Fees for Certain Persons Registered in Multiple Capacities

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