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The Texas Securities Act is the state law regarding the regulation of the securities industry in Texas. The Act provides for the registration of securities offered or sold in Texas, and of firms and individuals who sell securities or render investment advice in the state.

Advisers to investment companies registered under the Investment Company Act of 1940 must register with the SEC. Advisers to business development companies, when the adviser has at least $25 million of RAUM, must register with the SEC.

Rule 139.16, the individual accredited investor exemption, exempts sales by the issuer itself, or by a registered dealer acting on the issuer's behalf, to individual accredited investors.

Meet Specific Financial Requirements The most direct way to become an accredited investor is to have a net worth that exceeds $1 million or earns at least $200,000 per year . Firms will consider individuals with spouses who collectively have a pre-tax income of $300,000.

In order to register as an investment adviser a person must complete the Uniform Investment Adviser Law Examination (Series 65) or the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66). See Rule 116.3.

Section 203(b)(1) exempts any adviser (1) all of whose clients are within the same state as the adviser's principal business office, and (2) that does not provide advice or issue reports about securities listed on any national securities exchange.

The Texas State Securities Board requires investment adviser applicants to submit registration forms and fees electronically through the Investment Adviser Registration Depository (IARD) system. Other documents are submitted directly to the TSSB.

Any person or firm who acts as an investment adviser must register with the appropriate regulatory authority (as further discussed below, either the Securities and Exchange Commission (the ?SEC?) or the applicable state's securities regulator) or qualify for a registration exemption.

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Items 1 - 165 of 165 — To find a form, either select the appropriate category below or scroll through the full list of SEC forms in alphanumeric order. To become registered, securities professionals are required to pass qualification exams to demonstrate competence in their particular securities activities.Here's an overview of how the registration process works. PDF: Guide to Completing and Filing an Application for Registration . Complete the relevant form and submit through the OSC Electronic Filing Portal . This overview sheds light on what constitutes a security, registration with the SEC, and applicable exemptions to registration. Welcome to SEC eSPARC. Registration Process. In order to register a security under the Securities Act, a company must file a registration statement with the SEC. An issuer seeking to register securities for sale in Texas should complete forms U-1, U-2 and U-2A.

Texas Application For Registration of Securities

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What is the state of Texas Securities Act?

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What is the rule 139.16 in Texas?

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