Texas Government Code 4003.102 – Registration Statement Required
Terms Used In Texas Government Code 4003.102
- Amendment: A proposal to alter the text of a pending bill or other measure by striking out some of it, by inserting new language, or both. Before an amendment becomes part of the measure, thelegislature must agree to it.
- Service of process: The service of writs or summonses to the appropriate party.
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. § 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. § 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 § 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.