Form 133.7 - Application For Registration Of Securities, Section 7, Article 581, Vernon'S Annotated Civil Statutes The Texas Securities Act Page 2

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Form
133.7
6.
Describe the securities to be offered in Texas:
Quantity of
Type of
Maximum Price
Aggregate Maximum
Securities
Securities
Per Unit
Offering Price
Describe the securities to be offered in the total offering:
Quantity of
Type of
Maximum Price
Aggregate Maximum
Securities
Securities
Per Unit
Offering Price
7.
Maximum commissions: ______%. Estimate other offering expenses:
8.
Amount of fees submitted with this application: $
NOTE: Fees are 1/10 of 1% of the aggregate amount of securities to be sold to Texas
residents plus the applicable filing fee. Current information on fees is available on the
Agency’s web site ( ) or by contacting the Texas State Securities Board.
9.
If registration application has been made with the Securities and Exchange Commission,
state the effective date thereof or the expected date of effectiveness:
10.
Submit one copy of each of the following documents and indicate the documents submitted.
Include:
(a)
Securities and Exchange Commission Registration Statement;
(b)
preliminary prospectus and all amendments thereto;
(c)
each of the following, which may be in preliminary form, with a definitive copy
furnished when available:
Issuer’s charter and all amendments;
Issuer’s bylaws and all amendments;
Underwriting agreement;
Agreement among underwriters and dealers;
Opinion of counsel;
Specimen copy of security; and
Firm offering price commitment from managing underwriter;

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