Form 133.27 "Year-End Report of Sales of Federal Covered Securities by a Money Market Fund (Pursuant to 123.3)" - Texas

What Is Form 133.27?

This is a legal form that was released by the Texas State Securities Board - a government authority operating within Texas. As of today, no separate filing guidelines for the form are provided by the issuing department.

Form Details:

  • Released on April 8, 1997;
  • The latest edition provided by the Texas State Securities Board;
  • Easy to use and ready to print;
  • Quick to customize;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a printable version of Form 133.27 by clicking the link below or browse more documents and templates provided by the Texas State Securities Board.

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Download Form 133.27 "Year-End Report of Sales of Federal Covered Securities by a Money Market Fund (Pursuant to 123.3)" - Texas

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Form
133.27
State Securities Board
P.O. Box 13167
Austin, Texas 78711-3167
Year-End Report of Sales of Federal Covered Securities
by a Money Market Fund
(Pursuant to §123.3)
1.
Texas Authorization Number:
2.
Issuer:
3.
Correspondent:
Firm:
Address:
Telephone:
4.
For the year ended December 31,
Beginning balance in Texas -- the amount federally covered securities authorized on
January 1 by the Unapplied Fees in the prior year:
5.
Enter the dollar amount of fund shares authorized during the year and the fees paid
(including the beginning balance above). Do not include fees paid in order to register
shares in connection with an Oversale pursuant to Section 35-1 of the Act.
Total Shares Authorized
Fees Paid
(a)
First $0 - $10,000,000 authorized.
Amount authorized at this level:
x .001
=
(b)
Next $10,000,001 - $20,000,000.
Amount authorized at this level:
x .0005
=
(c)
Next $20,000,001 - $50,000,000.
Amount authorized at this level:
x .0002
=
(d)
Next $50,000,001 - $100,000,000.
Amount authorized at this level:
x .0001
=
(e)
Next $100,000,001 and above.
Amount authorized at this level:
x.00005
=
(f)
Enter total (a) through (e):
04-08-1997
Form
133.27
State Securities Board
P.O. Box 13167
Austin, Texas 78711-3167
Year-End Report of Sales of Federal Covered Securities
by a Money Market Fund
(Pursuant to §123.3)
1.
Texas Authorization Number:
2.
Issuer:
3.
Correspondent:
Firm:
Address:
Telephone:
4.
For the year ended December 31,
Beginning balance in Texas -- the amount federally covered securities authorized on
January 1 by the Unapplied Fees in the prior year:
5.
Enter the dollar amount of fund shares authorized during the year and the fees paid
(including the beginning balance above). Do not include fees paid in order to register
shares in connection with an Oversale pursuant to Section 35-1 of the Act.
Total Shares Authorized
Fees Paid
(a)
First $0 - $10,000,000 authorized.
Amount authorized at this level:
x .001
=
(b)
Next $10,000,001 - $20,000,000.
Amount authorized at this level:
x .0005
=
(c)
Next $20,000,001 - $50,000,000.
Amount authorized at this level:
x .0002
=
(d)
Next $50,000,001 - $100,000,000.
Amount authorized at this level:
x .0001
=
(e)
Next $100,000,001 and above.
Amount authorized at this level:
x.00005
=
(f)
Enter total (a) through (e):
04-08-1997
Form
133.27
6.
Enter the amount of fund shares sold and determine the fees applied for shares sold
during the year.
Total Shares Sold
Fees Applied
(a)
First $0 - $10,000,000 shares sold.
Amount sold at this level:
x .001
=
(b)
Next $10,000,001 - $20,000,000 sold.
Amount sold at this level:
x .0005
=
(c)
Next $20,000,001 - $50,000,000 sold.
Amount sold at this level:
x .0002
=
(d)
Next $50,000,001 - $100,000,000 sold.
Amount sold at this level:
x .0001
=
(e)
Next $100,000,001 and above sold.
Amount sold at this level:
x .00005
=
(f)
Enter total (a) through (e)
7.
Subtract the total amount of fees applied in Item 6(f) from the total amount of fees paid
in Item 5(f):
(Item 7 represents the amount of
Unapplied Fees for the new year.)
NOTE: If the amount of Unapplied Fees (Item 7) is negative, the fund has an Oversale.
Oversold securities should be retroactively authorized pursuant to §123.3 of the Rules.
8.
Apply the Unapplied Fees to authorize fund shares as of January 1 of the new year.
Application of Unapplied Fees
Shares Authorized
(a)
First $0 - $10,000 in Unapplied Fees.
Amount at this level:
÷ .001
=
(b)
Next $10,001 - $15,000 in Unapplied Fees.
Amount at this level:
÷ .0005
=
(c)
Next $15,001 - $21,000 in Unapplied Fees.
Amount at this level:
÷ .0002
=
(d)
Next $21,001 - $26,000 in Unapplied Fees.
Amount at this level:
÷ .0001
=
(e)
Next $26,001 and above in Unapplied Fees.
Amount at this level:
÷ .00005
=
(f)
Enter total (a) through (e):
=
The amount of Shares Authorized in Item 8(f) is the amount of fund shares to be
authorized as of January 1 of the new year.
04-08-1997
Form
133.27
9.
Report of Oversale amounts authorized during the past year.
Please itemize the
Oversale amounts authorized pursuant to §123.3 of the Rules during the past year.
Oversale amounts should not be included in any of the above computations.
(a)
Amount of Oversale Authorized:
Authorization No.:
Date of Oversale:
(b)
Amount of Oversale Authorized:
Authorization No.:
Date of Oversale:
(c)
Amount of Oversale Authorized:
Authorization No.:
Date of Oversale:
NOTE: It is the Fund’s obligation to file timely year-end reports of sales (§123.3).
Failure to comply with the guidelines governing continued registration of money market
shares could place in jeopardy the Fund's status as a money market fund under §123.3.
10.
Attestation regarding continuing status as a money market fund. By executing this form
the signatory attests that the Fund continues to meet all the requirements of §123.3 such
that it remains entitled to pay the reduced registration fees set forth in §123.3.
The undersigned has executed this report for and on behalf of the Fund named herein;
is duly authorized to execute and file this report; and that, to the best of the
undersigned's knowledge, the statements made herein are true.
By:
(Full Name - Printed or Typed)
(Signature)
Date:
04-08-1997
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