§ 4003.102 — REGISTRATION STATEMENT REQUIRED.

Texas § 4003.102

• Jurisdiction: Texas
• Code GV: Government Code

Text

Sec. 4003.102. REGISTRATION STATEMENT REQUIRED. To register securities by coordination, an issuer of the securities or a registered dealer must file with the commissioner a registration statement that contains:
(1) the following information:
(A) the amount of securities to be offered in this state;
(B) the states in which a registration statement or similar document in connection with the offering has been or is expected to be filed; and
(C) any adverse order, judgment, or decree previously entered in connection with the offering by a court or the Securities and Exchange Commission;
(2) one copy of the prospectus filed under the Securities Act of 1933 (15 U.S.C. Section 77a et seq.) together with all amendments to the prospectus;
(3) a copy of:
(A) the articles of incorporation and bylaws, or their substantial equivalents, currently in effect;
(B) any agreements with or among underwriters; and
(C) any indenture or other instrument governing the issuance of the securities to be registered;
(4) a specimen or copy of the security;
(5) any other information or copies of any other documents filed under the Securities Act of 1933 (15 U.S.C. Section 77a et seq.) the commissioner requests;
(6) an undertaking to promptly forward all amendments to the federal registration statement other than an amendment that delays the effective date only; and
(7) a consent to service of process conforming to the requirements of Section 4001.102 if:
(A) the registration statement is filed by the issuer or by a dealer that will offer the securities for sale as the issuer's agent; and
(B) the issuer is not a resident of this state or incorporated or formed under the laws of this state.

Legislative History

Added by Acts 2019, 86th Leg., R.S., Ch. 491 (H.B. 4171 ), Sec. 1.01, eff. January 1, 2022.