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 - 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Section 133.8 - [Repealed]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 - 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