Texas Administrative Code
Title 7 - BANKING AND SECURITIES
Part 7 - STATE SECURITIES BOARD
Chapter 113 - REGISTRATION OF SECURITIES
Section 113.2 - Registration by Qualification or Coordination
Universal Citation: 7 TX Admin Code ยง 113.2
Current through Reg. 49, No. 38; September 20, 2024
(a) Registration by Qualification. A Regulation "A" filing with the SEC is a form of exemption and cannot be the basis for a filing for Registration by Coordination with the State Securities Board. Such a registration should meet the requirements as outlined in the sections of the Act concerning Registration by Qualification or, if federal covered securities, the requirements in § 114.4 of this title (relating to Filings and Fees).
(b) Registration by Coordination.
(1) Time to file.
Applications for Registration by Coordination should be filed contemporaneously
with the SEC registration application. Delayed filings will jeopardize
coordination effectiveness. Applications filed after effectiveness with the SEC
are not eligible to use Registration by Coordination.
(2) Who should file. Applications to register
securities of open-end investment companies and unit investment trusts subject
to the provisions of the Investment Company Act of 1940, the Securities Act of
1933, and the Securities Exchange Act of 1934, will be considered and treated
as applications for Registration by Coordination, if the securities are not
federal covered securities as that term is defined in §
107.2 of this title (relating to
Definitions). Filings and fees relating to federal covered securities are
addressed in Chapter 114 of this title (relating to Federal Covered
Securities).
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