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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The TX Third Party Brokerage Arrangements on Financial Entity Premises Form 133.9 should be completed by a financial entity seeking exemption from the dealer registration requirements pursuant to the Texas Securities Act, Section 12.B. Occurring when the financial entity is engaging in securities-related activity solely acting as a correspondent in a third party brokerage arrangement coordinated with a registered dealer on the premises of the financial entity.
Version/Update: V.U/08/2010
Total Page Count/Format: 1/.pdf
Source/Author(s): TX State Securities Board