• 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 Application for Registration of Securities
  • 133.8 Consent to Service
  • 133.9 Notice Filing for Third Party Brokerage Arrangements on Financial Entity Premises
  • 133.10 Investment Company Report of Sales
  • 133.11 Sales Report Form 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 for SEC Rule 147A Offerings (Pursuant to §139.26)
  • 133.22 Waiver or Refund Request by a Military Spouse for a Renewal Fee (§115.18(h) or §116.18(h))
  • 133.23 Request for Recognition of Out-Of-State License or Registration by a Military Spouse (§115.18(h) or §116.18(h))
  • 133.26 Request for Determination of Money Market Fund Status for Federal Covered Securities (Pursuant to §123.3(c))
  • 133.27 Year End Report of Sales of Federal Covered Securities by a Money Market Fund (Pursuant to §123.3)
  • 133.29 Intrastate Exemption Notice for Sales Under Regulation 109.13(I)
  • 133.30 Information Concerning Projected Market Prices, and Related Market Information-Section 5.0(3)
  • 133.33 Uniform Forms Accepted, Required, or Recommended
  • 133.34 Undertaking Regarding Non-Issuer Sales Pursuant to Section 139.14
  • 133.36 Request for Reduced Fees for Certain Persons Registered in Multiple Capacities