Broker-Dealers and Investment Advisers may submit certain filings and forms to the Securities Commissioner through a new email address, submissions@ssb.texas.gov.

Please note the electronic submission of the filings described below is voluntary and the documents may continue to be submitted via U.S. mail.

If a firm is currently required by Board Rule to file or has already filed a Form BD, Form ADV, or Form U-4 using the CRD/IARD System, the firm may now electronically submit additional documents required under Board Rule 115.2(a)(3) - (5) and 116.2(a)(2).

All other applicants may also file electronically using the “Online Submission Instructions.” This includes: Finders, Business Brokers, Crowdfunding Portals, entities relying on Board Rule 139.20 (Third Party Brokerage Arrangements on Financial Entity Premises), and Non-FINRA Broker Dealers.

Online Submission Instructions

If your firm is required by Board rule to file or has already filed a Form BD, Form ADV, or Form U-4 using the CRD/IARD System, you may now submit the additional documents required under Board Rule 115.2(a)(3)- (5) and 116.2(a)(2) electronically.

All other applicants may file their applications using these instructions. This includes: Finders, Business Brokers, Crowdfunding Portals, entities using Rule 139.20 (Third Party Brokerage Arrangements on Financial Entity Premises), and Non-FINRA Broker Dealers.

Use submissions@ssb.texas.gov.  to upload your firm’s application form and/or other required documents. Please include the following information in the body of your email to enable us to process your firm’s filing:

  • Name of the Applicant/Firm;
  • Firm Name and name of person submitting documents;
  • Email and Phone number;
  • Type of application;
  • CRD number (if applicable); and
  • Texas File number (if applicable)

Within two to three business days after online submission, you will receive email confirmation from the Agency. If you have not already done so, please remit the application fees via check made payable to the “State Securities Board” directly to the Agency at:

Texas State Securities Board

RE: Registration Division/Submissions

P.O. Box 13167

Austin, Texas 78711-3167

Electronic submission is not a confirmation that your application is complete or that you or your firm are registered.