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TX State Securities Board Library

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  • IA- Texas Investment Adviser Certification of Balance Sheet by Principal Financial Officer Form 133.18

    IA- Texas Investment Adviser Certification of Balance Sheet by Principal Financial Officer Form 133.18

    IA- Texas Investment Adviser Certification of Balance Sheet by Principal Financial Officer Form 133.18

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  • TX- Texas Year-End Report of Sales of Federal Covered Securities by a Money Market Fund Form 133.27

    TX- Texas Year-End Report of Sales of Federal Covered Securities by a Money Market Fund Form 133.27

    TX- Texas Year-End Report of Sales of Federal Covered Securities by a Money Market Fund Form 133.27

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    Connexien
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  • TX- Texas Request for Determination of Money Market Fund Status for Federal Covered Securities Form 133.26

    TX- Texas Request for Determination of Money Market Fund Status for Federal Covered Securities Form 133.26

    TX- Texas Request for Determination of Money Market Fund Status for Federal Covered Securities Form 133.26

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    Connexien
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  • TX- Texas Crowdfunding Exemption Notice Form 133.21

    TX- Texas Crowdfunding Exemption Notice Form 133.21

    TX- Texas Crowdfunding Exemption Notice Form 133.21

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  • TX- Texas Crowdfunding Portal Reg. by an Auth. Small Bus. Development Entity Form 133.20

    TX- Texas Crowdfunding Portal Reg. by an Auth. Small Bus. Development Entity Form 133.20

    TX- Texas Crowdfunding Portal Reg. by an Auth. Small Bus. Development Entity Form 133.20

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    Connexien
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  • TX- Texas Crowdfunding Portal Withdrawal of Registration Form 133.16

    TX- Texas Crowdfunding Portal Withdrawal of Registration Form 133.16

    TX- Texas Crowdfunding Portal Withdrawal of Registration Form 133.16

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  • TX- Texas Crowdfunding Portal Registration Form 133.15

    TX- Texas Crowdfunding Portal Registration Form 133.15

    TX- Texas Crowdfunding Portal Registration Form 133.15

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  • TX- Texas Third Party Brokerage Arrangements on Financial Entity Premises Form 133.9

    TX- Texas Third Party Brokerage Arrangements on Financial Entity Premises Form 133.9

    TX- Texas Third Party Brokerage Arrangements on Financial Entity Premises Form 133.9

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  • TX- Texas Consent to Service Instructions and Form 133.8

    TX- Texas Consent to Service Instructions and Form 133.8

    TX- Texas Consent to Service Instructions and Form 133.8

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  • TX- Texas Application for Registration of Securities Form 133.7

    TX- Texas Application for Registration of Securities Form 133.7

    TX- Texas Application for Registration of Securities Form 133.7

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  • IA- Texas Invest. Adv. and IA Rep. Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    IA- Texas Invest. Adv. and IA Rep. Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    IA- Texas Invest. Adv. and IA Rep. Request for Consideration of a Registration Application by a Military Applicant Form 133.4

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    Connexien
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  • BD- Texas B-D and B-D Agent Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    BD- Texas B-D and B-D Agent Request for Consideration of a Registration Application by a Military Applicant Form 133.4

    BD- Texas B-D and B-D Agent Request for Consideration of a Registration Application by a Military Applicant Form 133.4

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    Connexien
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  • IA- Texas Investment Adviser and Investment Adviser Representative Open Record Request Form 133.2

    IA- Texas Investment Adviser and Investment Adviser Representative Open Record Request Form 133.2

    IA- Texas Investment Adviser and Investment Adviser Representative Open Record Request Form 133.2

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    Connexien
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  • BD- Texas Broker-Dealer and Broker-Dealer Agent Open Record Request Form 133.2

    BD- Texas Broker-Dealer and Broker-Dealer Agent Open Record Request Form 133.2

    BD- Texas Broker-Dealer and Broker-Dealer Agent Open Record Request Form 133.2

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    Connexien
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  • IA- Texas Investment Adviser and Investment Adviser Rep. Waiver or Refund Request by a Military Spouse for a Renewal Fee Form 133.22

    IA- Texas Investment Adviser and Investment Adviser Rep. Waiver or Refund Request by a Military Spouse for a Renewal Fee Form 133.22

    IA- Texas Investment Adviser and Investment Adviser Rep. Waiver or Refund Request by a Military Spouse for a Renewal Fee Form 133.22

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    Connexien
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  • BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Spouse for a Renewal Fee Form 133.22

    BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Spouse for a Renewal Fee Form 133.22

    BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Spouse for a Renewal Fee Form 133.22

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    Connexien
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  • IA- Texas Invest. Adv. and IA Rep. Request for Recognition of Out-Of-State License or Registration by a Military Spouse Form 133.23

    IA- Texas Invest. Adv. and IA Rep. Request for Recognition of Out-Of-State License or Registration by a Military Spouse Form 133.23

    IA- Texas Invest. Adv. and IA Rep. Request for Recognition of Out-Of-State License or Registration by a Military Spouse Form 133.23

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    Connexien
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  • BD- Texas B-D and B-D Agent Request for Recognition of Out-Of-State License or Registration by a Military Spouse Form 133.23

    BD- Texas B-D and B-D Agent Request for Recognition of Out-Of-State License or Registration by a Military Spouse Form 133.23

    BD- Texas B-D and B-D Agent Request for Recognition of Out-Of-State License or Registration by a Military Spouse Form 133.23

    Vendor:
    Connexien
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  • IA- Texas Investment Adviser and Investment Adviser Representative Waiver or Refund Request by a Military Applicant Form 133.19

    IA- Texas Investment Adviser and Investment Adviser Representative Waiver or Refund Request by a Military Applicant Form 133.19

    IA- Texas Investment Adviser and Investment Adviser Representative Waiver or Refund Request by a Military Applicant Form 133.19

    Vendor:
    Connexien
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  • BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Applicant Form 133.19

    BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Applicant Form 133.19

    BD- Texas Broker-Dealer and Broker-Dealer Agent Waiver or Refund Request by a Military Applicant Form 133.19

    Vendor:
    Connexien
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  • IA- Texas Investment Adviser Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

    IA- Texas Investment Adviser Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

    IA- Texas Investment Adviser Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

    Vendor:
    Connexien
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  • BD- Texas Broker-Dealer Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

    BD- Texas Broker-Dealer Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

    BD- Texas Broker-Dealer Request for Reduced Fees for Certain Persons Registered in Multiple Capacities Form 133.36

    Vendor:
    Connexien
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  • BD- Texas Broker-Dealer Certification of Balance Sheet by Principal Financial Officer Form 133.18

    BD- Texas Broker-Dealer Certification of Balance Sheet by Principal Financial Officer Form 133.18

    BD- Texas Broker-Dealer Certification of Balance Sheet by Principal Financial Officer Form 133.18

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    Connexien
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  • IA- Texas Investment Adviser and Investment Adviser Representative Registration Fee Schedule

    IA- Texas Investment Adviser and Investment Adviser Representative Registration Fee Schedule

    IA- Texas Investment Adviser and Investment Adviser Representative Registration Fee Schedule

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    Connexien
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  • BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Fee Schedule

    BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Fee Schedule

    BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Fee Schedule

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    Connexien
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  • IA- Texas Investment Adviser and Investment Adviser Rep. Registration Requirements

    IA- Texas Investment Adviser and Investment Adviser Rep. Registration Requirements

    IA- Texas Investment Adviser and Investment Adviser Rep. Registration Requirements

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    Connexien
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  • BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Requirements

    BD- Texas Broker-Dealer and Broker-Dealer Agent Registration Requirements

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    Connexien
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