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Title 7 - Part 7 - STATE SECURITIES BOARD

Chapter 101 - GENERAL ADMINISTRATION

101.1 - Authority
101.2 - Classification of Regulatory Standards
101.3 - Application
101.4 - Open Records Requests
101.5 - Charges for Copies of Public Records
101.6 - Historically Underutilized Business Program
101.7 - References to the Texas Securities Act in Board Rules
101.8 - Employee Leave Pools
101.9 - Vendor Protest Procedures

Chapter 102 - COMPLAINT PROCESS

102.1 - Policy
102.2 - Definitions
102.3 - Filing Complaints
102.4 - Processing of Complaints
102.5 - Prioritization of Complaint Investigations
102.6 - Complaint Resolution

Chapter 103 - RULEMAKING PROCEDURE

103.1 - How Initiated
103.2 - Notice
103.3 - Opportunity To Be Heard
103.4 - Compliance
103.5 - Petitions
103.6 - Negotiated Rulemaking

Chapter 104 - PROCEDURE FOR REVIEW OF APPLICATIONS

104.1 - Scope
104.2 - Purpose
104.3 - Definition of Days
104.4 - Registration of Securities--Review of Applications
104.5 - Registration of Dealers and Investment Advisers--Review of Applications
104.6 - Exceeding the Time Periods
104.7 - Preliminary Evaluation of License Eligibility

Chapter 105 - RULES OF PRACTICE IN CONTESTED CASES

105.1 - Scope
105.2 - Definitions
105.3 - Computation of Time
105.4 - Opportunity for Hearing
105.5 - Contents of Notice of Hearing
105.6 - Service
105.7 - Written Response to Notice of Hearing
105.8 - Copies to Securities Commissioner's Representative
105.9 - Informal Disposition
105.10 - Default
105.11 - Burden of Proof
105.12 - Subpoenas and Depositions
105.13 - Assessment of Hearing Costs
105.14 - Proposal for Decision
105.15 - Orders Issued by Securities Commissioner
105.16 - Decisions; When Final
105.17 - Motion for Rehearing
105.18 - Board Action on Motion for Rehearing
105.19 - Record
105.20 - Ex Parte Communications

Chapter 106 - GUIDELINES FOR THE ASSESSMENT OF ADMINISTRATIVE FINES

106.1 - Guidelines for the Assessment of Administrative Fines

Chapter 107 - TERMINOLOGY

107.1 - General
107.2 - Definitions

Chapter 109 - TRANSACTIONS EXEMPT FROM REGISTRATION

109.1 - Transactions Involving Existing Security Holders
109.2 - Parent Subsidiary Transactions
109.3 - Financial Institutions under the Texas Securities Act, §4005.011
109.4 - Securities Registration Exemption for Sales to Financial Institutions and Certain Institutional Investors
109.5 - Dealer Registration Exemption for Sales to Financial Institutions and Certain Institutional Investors
109.6 - Investment Adviser Registration Exemption for Investment Advice to Financial Institutions and Certain Institutional Investors
109.7 - Secondary Trading Exemption under the Texas Securities Act, §4005.019
109.8 - Initial Offering Completed
109.11 - Guarantee of Options
109.12 - Stock Dividends
109.13 - Limited Offering Exemptions
109.14 - Oil, Gas, and Other Mineral Interests
109.17 - Banks under the Securities Act, §4005.016

Chapter 111 - SECURITIES EXEMPT FROM REGISTRATION

111.2 - Listed and Designated Securities

Chapter 113 - REGISTRATION OF SECURITIES

113.1 - Definitions
113.2 - Registration by Qualification or Coordination
113.3 - Fair, Just, and Equitable Standards
113.4 - Application for Registration
113.5 - Financial Statements
113.6 - Renewal Update
113.7 - Reporting Changes in Filed Materials
113.8 - Notification of Status in Other States
113.9 - Securities Underlying Transferable Warrants and Employee Stock Options
113.10 - Sales Reports
113.11 - Shelf Registration of Securities
113.12 - Applicability of Statements of Policy to Exempt Offerings
113.13 - Multijurisdictional Disclosure System--MJDS Offerings
113.14 - Statements of Policy

Chapter 114 - FEDERAL COVERED SECURITIES

114.1 - Introduction
114.2 - Definitions
114.3 - Consents to Service of Process
114.4 - Filings and Fees

Chapter 115 - SECURITIES DEALERS AND AGENTS

115.1 - General Provisions
115.2 - Application Requirements
115.3 - Examination
115.4 - Evidences of Registration
115.5 - Minimum Records
115.6 - Registration of Persons with Criminal Backgrounds
115.7 - Maintenance and Inspection of Records
115.8 - Fee Requirements
115.9 - Post-Registration Reporting Requirements
115.10 - Supervisory Requirements
115.11 - Finder Registration and Activities
115.16 - Use of Senior-Specific Certifications and Professional Designations
115.18 - Special Provisions Relating to Military Applicants
115.19 - Texas Crowdfunding Portal Registration and Activities
115.20 - Texas Crowdfunding Portal Registration and Activities of Small Business Development Entities
115.21 - System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Chapter 4004, Subchapter H
115.22 - Electronic Submission of Forms and Fees
115.23 - Notice of Cybersecurity Incident
115.24 - Adoption by Reference of Conduct Rules

Chapter 116 - INVESTMENT ADVISERS AND INVESTMENT ADVISER REPRESENTATIVES

116.1 - General Provisions
116.2 - Application Requirements
116.3 - Examination
116.4 - Evidences of Registration
116.5 - Minimum Records
116.6 - Registration of Persons with Criminal Backgrounds
116.7 - Maintenance and Inspection of Records
116.8 - Fee Requirements
116.9 - Post-Registration Reporting Requirements
116.10 - Supervisory Requirements
116.11 - Disclosure Requirement/Brochure Rule
116.12 - Advisory Contract Requirements
116.13 - Advisory Fee Requirements
116.14 - Prevention of Misuse of Nonpublic Information
116.15 - Adoption by Reference of Investment Adviser Marketing Rules
116.16 - Use of Senior-Specific Certifications and Professional Designations
116.17 - Custody of Funds or Securities of Clients by Registered Investment Advisers
116.18 - Special Provisions Relating to Military Applicants
116.21 - System Addressing Suspected Financial Exploitation of Vulnerable Customers Pursuant to the Texas Securities Act, Chapter 4004, Subchapter H
116.22 - Electronic Submission of Forms and Fees
116.23 - Notice of Cybersecurity Incident

Chapter 123 - ADMINISTRATIVE GUIDELINES FOR REGISTRATION OF OPEN-END INVESTMENT COMPANIES

123.3 - Conditional Exemption for Money Market Funds

Chapter 125 - MINIMUM DISCLOSURES IN CHURCH AND NONPROFIT INSTITUTION BOND ISSUES

125.1 - Introduction
125.2 - Name
125.3 - The Issuer
125.4 - Description of Terms of Security Offered
125.5 - Plan of Distribution
125.6 - Financial Information
125.7 - Risk Factors
125.8 - Litigation and Other Material Transactions

Chapter 127 - MISCELLANEOUS

127.1 - Enforcement
127.2 - Alternative Dispute Resolution
127.3 - Seal of the State
127.4 - Prosecutorial Assistance to County or District Attorneys

Chapter 131 - GUIDELINES FOR CONFIDENTIALITY OF INFORMATION

131.1 - Information Sharing

Chapter 133 - FORMS

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

Chapter 135 - INDUSTRIAL DEVELOPMENT CORPORATIONS AND AUTHORITIES

135.1 - Exemption
135.2 - Dealer and Agent Registration
135.3 - Anti-fraud Provisions

Chapter 137 - ADMINISTRATIVE GUIDELINES FOR REGULATION OF OFFERS

137.1 - Application
137.2 - Filing Requirements
137.3 - Preliminary Prospectus
137.4 - Tombstone Advertisements
137.5 - Materials for Dealer Use