​Effective March 15,  2019, the Securities Commissioner waived the notarization requirement on certain forms. The waiver applies to the forms listed in bold.

In lieu of the notarization requirement, the agency has prepared an alternative signature page for filers to execute in conjunction with the forms subject to the waiver of notarization requirement.

  • 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 Power of Attorney
  • 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)
  • 133.26 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
  • 133.35 Application for Designation as Matching Services Under §109.15
  • 133.36 Request for Reduced Fees for Certain Persons Registered in Multiple Capacities