FINRA Member Dealers

Applicants filing for Texas Securities Dealer Registration through the Central Registration Depository of FINRA (the "CRD") must submit fees through the CRD.

In addition to filing Form BD and Forms U-4 electronically, submit the following items to

State Securities Board
P.O. Box 13167
Austin, Texas 78711-3167

1. Name of Control Person to be registered as designated principal.
   Note: One Control Person of a corporation, L.L.C., or partnership must be registered, even if none is actively engaged in securities activities under this registration. A letter must be submitted with application materials specifying which individual will be the designated officer.
2. For corporations, limited liability companies and partnerships, a certified or file-stamped copy of: (1) articles of incorporation (or articles of organization) and a copy of the bylaws (or operating agreement), or (2) a copy of the partnership agreement.
3. A balance sheet, prepared in accordance with generally accepted accounting practices, reflecting the applicant's financial condition as of a date not more than 90 days prior to the date of filing. For sole proprietor applicants, a personal balance sheet must be furnished. The balance sheet should either be audited by an independent certified accountant or otherwise be attested by executing a sworn notarized statement (Certification of Balance Sheet Form) on behalf of the applicant.

Non FINRA Affiliated Dealers

In addition to the above documents, non FINRA affiliated dealers must submit fees, Forms BD, and U-4 directly to:

State Securities Board
P.O. Box 13167
Austin, Texas 78711-3167

Applicants Filing as a Dealer Restricted to Finder Activities

Applicants filing as a Dealer restricted to Finder activities must file:

1. Form BD
2. Form U4
3. A personal balance sheet reflecting the applicant's financial condition as of a date not more than 90 days prior to the date of filing. The balance sheet should either be audited by an independent certified accountant or otherwise be attested by executing a sworn notarized statement (Certification of Balance Sheet Form) on behalf of the applicant.
4. Registration fee of $275, and
5. A cover letter that includes a description of the Finder activities to:
   
   State Securities Board
   P.O. Box 13167
   Austin, Texas 78711-3167