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RULE §133.33 Uniform Forms Accepted, Required, or Recommended

Published: 2015

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(a) Assuming the appropriate exhibits and supplements are filed, the State Securities Board will accept for filing the following "Uniform Forms" in lieu of the requisite Texas form, if any.   (1) U-1. Uniform Application to Register Securities.   (2) U-2. Uniform Consent to Service of Process.   (3) U-4. Uniform Application for Securities Industry Registration or Transfer.   (4) U-5. Uniform Termination Notice for Securities Industry Registration.   (5) ADV. Uniform Application for Investment Adviser Registration.   (6) BD. Uniform Application for Broker-Dealer Registration.   (7) USR-1. Investment Company Report of Sales.   (8) U-7. Small Company Offerings Registration Form may be used as a disclosure guide when making a small company offering of securities pursuant to an exemption under the Act or when making small public offerings pursuant to the Act, §7.A.   (9) NF. Uniform Investment Company Notice Filing.   (10) Model Accredited Investor Exemption Uniform Notice of Transaction.   (11) BR. Uniform Branch Office Registration Form. (b) The following "Uniform Forms" may be filed with this agency as appropriate.   (1) ADV-W. Notice of Withdrawal from Registration as Investment Adviser.   (2) BDW. Uniform Request for Withdrawal from Registration as a Broker-Dealer.   (3) ADV-E. Certificate of Accounting of Client Securities and Funds in the Possession or Custody of an Investment Adviser. (c) Section 109.13(k)(5) of this title (relating to Limited Offering Exemptions) and §114.4(b)(1) of this title (relating to Filings and Fees) require the filing of a Form D, "Notice of Sale of Securities Pursuant to Regulation D, §4(6), and/or Uniform Limited Offering Exemption."

Source Note: The provisions of this §133.33 adopted to be effective November 29, 1989, 14 TexReg 6079; amended to be effective April 21, 1995, 20 TexReg 2621; amended to be effective April 8, 1997, 22 TexReg 3228; amended to be effective December 2, 1997, 22 TexReg 11668; amended to be effective August 10, 2003, 28 TexReg 5992; amended to be effective January 8, 2006, 30 TexReg 8869; amended to be effective December 21, 2011, 36 TexReg 8513