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https://www.ssb.texas.gov/
The State Securities Board is responsible for administering and enforcing the Texas Securities Act. The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the ...
https://www.ssb.texas.gov/sites/default/files/NOH_Metals%2005082019.pdf
VIA HAND DELIVERY to Marlene Sparkman, General Counsel for the State Securities Board and the Securities Commissioner’s Representative at 208 E. 10th Street, 5th Floor, Austin, Texas 78701, VIA OVERNIGHT MAIL AND CERTIFIED MAIL, RETURN RECEIPT REQUESTED, to TMTE Inc., aka Metals.com, aka Chase Metals, LLC, aka Chase Metals, Inc., to theFile Size: 2MB
https://texreg.sos.state.tx.us/public/readtac$ext.TacPage?sl=R&app=9&p_dir=&p_rloc=&p_tloc=&p_ploc=&pg=1&p_tac=&ti=7&pt=7&ch=116&rl=5
(c) The records required to be maintained pursuant to this section may be maintained by any electronic storage media available so long as such records are available for immediate and complete access by representatives of the Securities Commissioner. Any electronic storage media must preserve the records exclusively in a non-rewriteable, non ...
https://www.ria-compliance-consultants.com/2012/09/state-registered-investment-advisors-can-choose-to-notice-file-or-register-with-the-texas-state-securities-board/
Sep 12, 2012 · State registered investment advisors located outside of Texas but conducting business with at least one client residing in Texas and less than six Texas residents can choose whether they would rather notice file or register with the Texas State Securities Board, the state securities regulator in Texas.The fee to notice file or register is the same, but if the state registered investment ...
https://www.texasable.org/faqs/
The Texas ABLE Program cannot provide investment advice. The United States Securities and Exchange Commission provides general investment guidance and the Texas State Securities Board offers several publications on investing. You may benefit from visiting their websites and consulting with your own investment advisor to discuss your specific ...
https://www.sec.gov/rules/interp/34-42728.htm
May 04, 2000 · We first published our views on the use of electronic media to deliver information to investors in 1995. 11 The 1995 Release focused on electronic delivery of prospectuses, annual reports to security holders and proxy solicitation materials under the Securities Act of 1933, 12 the Securities Exchange Act of 1934 13 and the Investment Company ...
https://tdi.texas.gov/insurer/index.html
System for Electronic Rate and Form Filings (SERFF) ... If you request that the certificates be emailed in the “certificate delivery instructions…” box on the form, you can print as many as you need for $11. If we mail the certificates, it’s $11 for each hard copy. ... Texas State Spending;
https://statutes.capitol.texas.gov/Docs/BC/htm/BC.322.htm
Any requirement of the Department of Information Resources or the Texas State Library and Archives Commission under this chapter that generally applies to one or more state agencies using electronic records or electronic signatures is considered to be a recommendation to the comptroller concerning the electronic records or electronic signatures ...
https://www.ria-compliance-consultants.com/2011/04/electronic-delivery-of-new-form-adv-part-2/
Apr 12, 2011 · Fourth, your investment adviser is required to have reason to believe that the electronic delivery of the Form ADV Part 2 was successful, which may be evidenced by obtaining evident of the actual receipt (for example, electronic-mail return receipt), or facsimile delivery receipt.
Organized in 1919, the North American Securities Administrators Association is the oldest international organization devoted to investor protection. Consisting of 67 state, provincial, and territorial securities administrators in all 50 states, the District of Columbia, Puerto Rico, …
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