| License |
Fee |
| Agent Licenses for Issuer Application |
$30.00 |
| Agent Licenses for Issuer Appl for Renewal |
$30.00 each rep |
| Broker-Dealer Firm Appl Review Fee |
$200.00 |
| Broker-Dealer Firm License Appl |
$200.00 |
| Broker-Dealer Firm License Ren |
$200.00 |
| Broker-Dealer Agent License Appl |
$30.00 |
| Broker-Dealer Agent License Ren |
$30.00 |
| Broker-Dealer Branch |
$30.00 |
| Broker-Dealer Branch Renewal |
$30.00 |
| Non-Nasd Member Broker-Dealer/Agent lic Ren |
$200.00; $30.00 each rep |
| State Investment Advisors License |
$200.00 |
| State Investment Advisor Firms Review Fee |
$200.00 |
| Investment Advisor Branch License |
$30.00 |
| Investment Advisor Rep. |
$30.00 |
| Investment Advisor Rep. Renewal |
$30.00 |
| Investment Advisor Firms Renewal |
$200.00 |
| Investment Advisor Branch |
$30.00 |
| Investment Advisor Branch Renewal |
$30.00 |
| Federal Investment Advisor Notice Filing |
$200.00 |
| Federal Investment Advisor Renewal |
$200.00 |
| Request for Licensee List on Disc |
$5.00 |
| Registration statement |
$750.00 |
| Registration statement report |
$150-$1500 for mutual funds |
| Registration statement admendment |
$200.00 |
| Registration statement extension |
$200.00 |
| Application for order exemption |
$200.00 |
| Notice filing for claiming registation Exemp |
$200.00 |
| Appl for opinion confirming a registr. Exemp |
$500.00 |
| Prospectus filed by Reg. Finance Co |
$50.00 |
| Advertising filing |
$10.00 per item |
| Issurance of Certificate |
$50.00+$1.00 per page |
| Issurance of Interpretive opinion |
$500.00 |
Appl for exclusion for a definition by order |
$200.00 |
| Small Corp. offering reg. and Prospectus disclosure
form |
$5.00 |
| Going Private notice |
$200.00 |
| Exams |
$100.00 per day per examiner |
| Late Fees |
$100 * |
* A $200 late fee is permissable by order.
Index
