Section 113.2 - Registration by Qualification or Coordination(a) Registration by Qualification. A Regulation "A" filing with the SEC is a form of exemption and cannot be the basis for a filing for Registration by Coordination with the State Securities Board. Such a registration should meet the requirements as outlined in the sections of the Act concerning Registration by Qualification or, if federal covered securities, the requirements in § 114.4 of this title (relating to Filings and Fees).(b) Registration by Coordination.(1) Time to file. Applications for Registration by Coordination should be filed contemporaneously with the SEC registration application. Delayed filings will jeopardize coordination effectiveness. Applications filed after effectiveness with the SEC are not eligible to use Registration by Coordination.(2) Who should file. Applications to register securities of open-end investment companies and unit investment trusts subject to the provisions of the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934, will be considered and treated as applications for Registration by Coordination, if the securities are not federal covered securities as that term is defined in § 107.2 of this title (relating to Definitions). Filings and fees relating to federal covered securities are addressed in Chapter 114 of this title (relating to Federal Covered Securities).7 Tex. Admin. Code § 113.2
The provisions of this §113.2 adopted to be effective January 1, 1976; amended to be effective July 17, 1978, 3 TexReg 2314; amended to be effective September 22, 1995, 20 TexReg 7187; amended to be effective April 8, 1997, 22 TexReg 3219; amended to be effective November 7, 1999, 24 TexReg 9607; Amended by Texas Register, Volume 49, Number 13, March 29, 2024, TexReg 2062, eff. 4/7/2024