Get 6 Texas State Securities Board P

This guide provides users with clear steps for completing the 6 Texas State Securities Board P form, ensuring all necessary information is accurately provided. Whether you are experienced in filing documents or new to the process, this guide aims to support you through each section of the form.

Follow the steps to complete your filing successfully.

1. Press the ‘Get Form’ button to access the 6 Texas State Securities Board P form and open it in your preferred editing tool.
2. Enter the name of the issuer in the designated field, along with the state of incorporation and the address including the principal place of business.
3. Provide the location of books and records, including the name and address of a correspondent firm, as well as a telephone number for contact.
4. Attach all required Forms 10, 10-K, 8-K, and 10-Q that have not previously been submitted with the last filing for Secondary Trading Exemption.
5. Furnish copies of the latest prospectus, annual report, and proxy statement if available.
6. List the names and addresses of current officers and directors, as well as any new officers and directors since the last filing for Secondary Trading Exemption.
7. Document names and addresses of any other officers and/or directors who have held office in the past five years but are not included in prior filings.
8. Indicate whether the issuer or any person named in previously entered items have been charged or convicted of any felony or misdemeanor related to fraud, providing details if applicable.
9. Answer whether there has been a temporary or permanent injunction issued against the issuer or persons named, and provide details if needed.
10. Complete the name and address fields for the transfer agent.
11. Attach certified financial statements of the issuer, including a balance sheet for the most recent fiscal year and related income, changes in stockholders’ equity, and cash flow statements for the last three years.
12. Confirm if there is an existing over-the-counter market for the issuer’s securities, providing supporting justification for market activity over the last 12 months.
13. List the names and addresses of dealers that make a market in the securities.
14. Indicate the class(es) of securities for which exemption is being sought, and state the number of shares eligible for secondary trading without registration.
15. Include a signed statement from an officer of the issuer affirming no material adverse change in the financial condition since the last audited financial statement.
16. Complete the affirmation section, where the applicant states terms related to the sale of securities, and ensure it is signed and notarized.
17. Upon completion, save changes, and download, print, or share the filled form as required.

Begin the process of completing your Texas State Securities Board P form online today.