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

The TX Broker-Dealer and Broker-Dealer Agent Open Record Request Form 133.2 should be completed by individuals requesting public information available in the files or records of a Texas governmental agency, including the State Securities Board pursuant to Texas Government Code Title 5, Chapter 552.  Some of the public information available for request includes:  Records of securities registered for sale, registration and disciplinary records of securities dealers, agents, investment advisers and investment adviser representatives registered in the State of Texas. Members also downloaded Texas Broker-Dealer and Broker-Dealer Agent Registration Requirements.

Version/Update: V.U/07/2005

Total Page Count/Format: 1/.pdf

Source/Author(s): TX State Securities Board