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

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