Section 4003.102 - Registration Statement RequiredTo 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. (V.A.C.S. Art. 581-7, Subsec. C, Subdiv. (1) (part).) Tex. Gov't. Code § 4003.102
Added by Acts 2019, Texas Acts of the 86th Leg.- Regular Session, ch. TBD,Sec. 1.01, eff. 1/1/2022.