Securities Filing Fees
Securities Filing Fees
Make checks payable to Wisconsin Department of Financial Institutions.
| Professional Registration | Fee |
|---|---|
| Agent for Issuer Registration Application | $80.00 |
| Agent for Issuer Appl for Registration Renewal | $80.00 |
| Broker-Dealer Firm Registration Appl Review Fee | $200.00 |
| Broker-Dealer Firm Registration Appl | $200.00 |
| Broker-Dealer Firm Registration Renewal | $200.00 |
| Broker-Dealer Agent Registration Appl | $80.00 |
| Broker-Dealer Agent Registration Renewal | $80.00 |
| Broker-Dealer Branch | $80.00 |
| Broker-Dealer Branch Renewal | $80.00 |
| Non-NASD Member Broker-Dealer/Agent Lic Renewal | $200.00; $80.00 each agent |
| State Investment Adviser Firm Registration Appl | $200.00 |
| State Investment Adviser Firm Registration Review | $200.00 |
| Investment Adviser Branch | $80.00 |
| Investment Adviser Rep Appl | $80.00 |
| Investment Adviser Rep Renewal | $80.00 |
| Investment Advisory Firms Renewal | $200.00 |
| Investment Adviser Branch | $80.00 |
| Investment Adviser Branch Renewal | $80.00 |
| Federal Investment Adviser Notice Filing | $200.00 |
| Federal Investment Adviser Notice Filing Renewal | $200.00 |
| Appl for Order Waiving Registration Provision | $200.00 |
| Examination of Broker-dealer or Investment Adviser Office | $100.00 per day per examiner |
| Securities Registration | Fee |
| Securities Registration statement | $1,500.00 |
| Investment Company Annual sales report | $750-$15,000 for mutual funds |
| Securities Registration statement amendment | $200.00 |
| Securities Registration statement extension | $200.00 |
| Application for Securities Order of Exemption | $200.00 |
| Notice filing for claiming registration Exemption | $200.00 |
| Application for opinion confirming a registration Exemption | $500.00 |
| Prospectus filed by Registered Finance Co | $50.00 |
| Advertising filing | $10.00 per item |
| Federal Covered Security Notice Filing | $200.00 |
| Small Corp. Offering Reg. (SCOR) and Prospectus disclosure form | $5.00 |
| Takeover Fees | Fee |
| Going Private notice | $200.00 |
| Offeror Takeover Registration Statement | $100.00 |
| Target Company Request for Hearing | $100.00 |
| TO-1 Takeover Statement of Ownership Filing | $100.00 |
| TO-2 Takeover Statement of Ownership Filing | $100.00 |
| Amendment of Ownership Statement | $100.00 |
| Takeover Section 13(d) Filing | $100.00 |
| Examination of Ownership Filings | $50.00 |
| Examination of Takeover Solicitation Materials | $10 per item |
| Appl for Interpretive Opinion on Takeover | $500.00 |
| Appl for Takeover Exemption Order | $200.00 |
| Franchise Fees | Fee |
| Franchise Registration Notice Filing | $400.00 |
| Appl for Franchise Order of Exemption | $200.00 |
| Appl for Opinion Confirming Franchise Exemption | $500.00 |
| Appl for Interpretive Franchise Opinion | $500.00 |
| Appl for Amendment of Franchise Registration | $500.00 |
| Other Fees | Fee |
| Issuance of Certificate | $50.00+$1.00 per page |
| Issuance of Interpretive opinion | $500.00 |
| Appl for exclusion from a definition by Order | $200.00 |
| Request for Registration List | $5.00-$25.00 plus CRD fees if applicable |
| Late Fees | $100 * |
* A $200 late fee is permissable by order.
Make checks payable to Wisconsin Department of Financial Institutions.