This form is a due diligence questionnaire that requests information to be used to complete the Registration Statement prior to the Effective Date. The questionnaire should be distributed to each person who is selling securities pursuant to the Registration Statement in business transactions.
Texas Comprehensive Selling Stockholder Questionnaire
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Multi-State
Control #:
US-DD06028
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How to fill out Texas Comprehensive Selling Stockholder Questionnaire?
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This Standard Document is a form of Selling Stockholder Questionnaire. This questionnaire can be used in registered secondary offerings of securities to help collect and verify information relating to stockholders selling securities as part of the offering.
In the context of registered securities offerings, an existing stockholder of a company that is selling shares in a registered public offering. A public offering of shares by existing stockholders is known as a secondary offering.
This Standard Document is a form of Selling Stockholder Questionnaire. This questionnaire can be used in registered secondary offerings of securities to help collect and verify information relating to stockholders selling securities as part of the offering.
The Securities Act serves the dual purpose of ensuring that issuers selling securities to the public disclose material information, and that any securities transactions are not based on fraudulent information or practices.
The Texas Securities Act is the state law regarding the regulation of the securities industry in Texas. The Act provides for the registration of securities offered or sold in Texas, and of firms and individuals who sell securities or render investment advice in the state.
The mission of the State Securities Board is to protect Texas investors. Consistent with that purpose, the Agency seeks to ensure a free and competitive securities market for Texas, increase investor confidence, and thereby encourage the formation of capital and the creation of new jobs in Texas.
Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: require that investors receive financial and other significant information concerning securities being offered for public sale; and. prohibit deceit, misrepresentations, and other fraud in the sale of securities.
I, TRAVIS J. ILES, Securities Commissioner of the State of Texas, certify that the following pages constitute a copy of The Securities Act of the State of Texas which was effective August 22, 1957, as amended, including amendments effective September 1, 2019.
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