• Texas is a merit jurisdiction.
  • Texas accepts the Uniform Application to Register Securities (Form U1), and will accept an electronic signature pursuant to a No Action Letter.
  • Registration requires filing or delivery of:
    • Filing fee
    • Application form
    • Financial statements
    • A Consent to Service of Process (Form U2)
    • SEC Form 1-A with exhibits
  • Texas collects a variable fee. There is a $100 application fee, plus an examination fee of 1/10th of 1% of the offering amount in Texas. An issuer that is unsure how much it will sell in Texas should estimate how much it will sell on the Form U-1 and pay the associated fee. If the issuer later wants to increase the amount to be offered in Texas, it may do so by filing an amended Form U-1 in advance and paying 1/10th of 1% of the additional amount to be offered in Texas.
  • Fees should be made payable to the “Texas State Securities Board.” Payments should be sent to the following address:
Mailing Address: Courier Address:
Texas State Securities Board
P.O. Box 13167
Austin, TX  78711-3167
Texas State Securities Board
208 E.10th Street, 6th Floor
Austin, TX  78701
  • For additional information, please visit the regulator’s website at www.ssb.state.tx.us or contact them at (512) 305-8300.