Skip to main content
- 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
