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Securities Filing Fees

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
Crowdfunding Fees Fee
551.202(26) Issuer Exemption Notice Filing $50.00
551.202(27) Issuer Exemption Notice Filing $50.00
Internet Site Operator Registration $100.00
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
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 $200.00
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.