Chapter 133 - FORMS
- Section 133.2 - Public Information Charges - Billing Detail
- Section 133.3 - ADA Accommodations Request
- Section 133.4 - Request for Consideration of a Registration Application by a Military Applicant
- Section 133.5 - Secondary Trading Exemption Notice
- Section 133.6 - Secondary Trading Exemption Renewal Notice
- Section 133.7 - [Effective until 11/14/2024] Securities Application
- Section 133.7 - [Effective 11/14/2024] Securities Application
- Section 133.8 - [Repealed]
- Section 133.9 - Notice Filing for Third Party Brokerage Arrangements on Financial Entity Premises
- Section 133.10 - Investment Company Report of Sales in the State of Texas
- Section 133.11 - Sales Report for Non-continuous Offerings
- Section 133.12 - Renewal Application for Mutual Funds and Other Continuous Offerings
- Section 133.13 - Application for Renewal Permit
- Section 133.14 - Consent of Independent Accountants
- Section 133.15 - Texas Crowdfunding Portal Registration
- Section 133.16 - Texas Crowdfunding Portal Withdrawal of Registration
- Section 133.18 - Certification of Balance Sheet by Principal Financial Officer
- Section 133.19 - Waiver or Refund Request by a Military Applicant
- Section 133.20 - Texas Crowdfunding Portal Registration by an Authorized Small Business Development Entity
- Section 133.21 - Crowdfunding Exemption Notice
- Section 133.22 - Waiver or Refund Request by a Military Service Member or Military Spouse for a Renewal Fee
- Section 133.23 - Request for Recognition of Out-Of-State License or Registration Pursuant to Occupations Code Section 55.0041
- Section 133.26 - Request for Determination of Money Market Fund Status for Federal Covered Securities
- Section 133.27 - Year-End Report of Sales of Federal Covered Securities by a Money Market Fund
- Section 133.29 - Intrastate Exemption Notice
- Section 133.30 - Information Concerning Projected Market Prices and Related Market Information
- Section 133.33 - [Effective until 11/14/2024] Uniform Forms Accepted, Required, or Recommended
- Section 133.33 - [Effective 11/14/2024] Uniform Forms Accepted, Required, or Recommended
- Section 133.34 - Undertaking Regarding Non-issuer Sales
- Section 133.36 - Request for Reduced Fees for Certain Persons Registered in Multiple Capacities