Fees
Registration and Renewal Fees
Note: All fees are nonrefundable
Electronic filers make payments through the Central Registration Depository/Investment Advisor Registration Depository. (CRD/IARD). For paper filers, make checks payable to "Department of Financial Regulation".
Firms and Individuals |
|
| Registration and Renewal Fees | |
| Broker-dealer firm--FINRA and non-FINRA | $250.00 |
| State registered investment adviser | $250.00 |
| Federally covered investment adviser- notice filing fee | $250.00 |
| Broker-dealer agents | $60.00 |
| Issuer agents | $60.00 |
| Investment adviser representatives | $55.00 |
Branch Office Fees |
|
| Initial and Renewal | |
| Registration and Renewal of broker-dealer branch office | $100.00 |
| Registration, Renewal or notice filing, notice filing renewal of investment adviser branch office | $100.00 |
|
*please review specific filing requirements for branch offices when branch is both a broker-dealer branch and investment adviser branch |
|
Transfer Fees |
|
| Broker-dealer agent mass transfer fee | $60.00 |
| Investment adviser representative mass transfer fee | $55.00 |
| Branch office transfer fee- broker-dealer | $100.00 |
| Branch office transfer fee - investment adviser | $100.00 |
All Securities |
|
| Registration, Notice Filing, and Renewals | $600.00 |
| Exemptions | N/C |
Interpretive Opinions and No Action Determinations |
|
| Fee applies to each request for an interpretive opinion or no-action determination | $250.00 |