Securities Board

State of Texas

Official Website: https://www.ssb.texas.gov/

Forms & Documents

Browse all Securities Board government forms

21 - 36 of 36 forms

Form Title Topics
133.4 Request for Consideration of a Registration Application by a Military Applicant
133.5 Secondary Trading Exemption Notice
133.6 Secondary Trading Exemption Renewal Notice
133.7 Securities Application
133.9 Notice Filing for Third Party Brokerage Arrangements on Financial Entity Premises
Comparing Classic and Enhanced U4 Experiences
Completing Form U4 in FinPro Gateway Guide
Firm Settings Guide
Form BD/Form BDW Quick Reference Guide
Form BR & Instructions 
Form U4
Form U4 and U5 Interpretive Questions and Answers
Form U4 Explanation of Terms
Form U4 Instructions
Registration Filing in FINRA Gateway — Enhanced Firm BR Filing Experience Summary of Changes
Viewing Form Filing Event History in FinPro Gateway Guide

Have Questions About This Agency?
Ask An Expert For Help:

Questions and comments are moderated. Minimum of 10 characters.

All questions and comments are moderated and publicly viewable. Please do not post private or sensitive information such as names, addresses, phone numbers, emails, confidential financial and legal details.

Login or sign up to submit questions