Notification to Certain Securities Filers

Although the majority of securities-related filings with the Texas State Securities Board use an electronic platform such as Blue Express and the EFD system, in some instances filers mail paper filings and submit fees directly to our office.

Examples of some types of paper filings received by our Agency are:

  • Initial/Amendment/Renewal for fully registered securities offerings
  • Over sales for any type of offering
  • Reg A Tier 2 offerings
  • 5.O – Secondary Trading Exemption
  • Rules and Exemption Filings (Texas specific)
    • 139.14 – Non-Issuer Sales
    • 139.16 – Sales to Individual Accredited Investors
    • 139.19 – Accredited Investor Exemption
    • 139.26 – Crowdfunding Exemption
    • 109.13(l) – Intrastate limited offering exemption

Securities filers now have the option to make any of these filings by submitting a scan of the original document to be filed using the following email address: You will receive an acknowledgment of the electronic filing within a few business days. To avoid confusion in processing, please do not submit a duplicate paper filing.

Please be aware that related fees will still need to be mailed. Information to be included with the fee is set out in the instructions provided below.

Your filing will be considered “Received” when all correct fees and forms have been received by our office. Currently, if you ONLY mail in your paper filings, there may be temporary delays.

Instructions for submitting original securities filings electronically

Use to email the Agency your securities filings. Please include the following information in the body of your email, in addition to your securities filing, to enable us to process your filing efficiently:

  • Issue Name
  • File number (if applicable)
  • Filing type (amendment increase/name change/renewal)
  • The amount of fees mailed to our office and check number
  • The date in which you mailed the fees

If the filing includes fees, those related fees will need to be mailed.  When submitting fees, please enclose either a print copy of the email submitting the filing or a cover letter containing the following information:

  • Issue name
  • File number (if applicable)
  • Filing type (amendment increase/name change/renewal)
  • The date on which you emailed the filing

Please remit the application fees via check made payable to the “State Securities Board” directly to the Agency at:

Texas State Securities Board

RE: Registration Division/Securities Filings

P.O. Box 13167

Austin, Texas 78711-3167