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Title XXVI TRADE AND COMMERCE

Chapter 409

previous next Effective - 01 Sep 2003, see footnotebottom

  409.4-410.  Filing fees. — (a)  A person shall pay a fee of two hundred dollars when initially filing an application for registration as a broker-dealer and a fee of one hundred dollars when filing a renewal of registration as a broker-dealer.  If the filing results in a denial or withdrawal, the commissioner shall retain the entire fee.

  (b)  The fee for an individual is fifty dollars when filing an application for registration as an agent, a fee of fifty dollars when filing a renewal of registration as an agent, and a fee of fifty dollars when filing for a change of registration as an agent.  If the filing results in a denial or withdrawal, the commissioner shall retain the entire fee.

  (c)  A person shall pay a fee of two hundred dollars when filing an application for registration as an investment adviser and a fee of one hundred dollars when filing a renewal of registration as an investment adviser.  If the filing results in a denial or withdrawal, the commissioner shall retain the entire fee.

  (d)  The fee for an individual is fifty dollars when filing an application for registration as an investment adviser representative, a fee of fifty dollars when filing a renewal of registration as an investment adviser representative, and a fee of fifty dollars when filing a change of registration as an investment adviser representative.  If the filing results in a denial or withdrawal, the commissioner shall retain the entire fee.

  (e)  A federal covered investment adviser required to file a notice under section 409.4-405 shall pay an initial fee of two hundred dollars and an annual notice fee of one hundred dollars.

  (f)  A person required to pay a filing or notice fee under this section may transmit the fee through or to a designee as a rule or order provides under this act.

  (g)  An investment adviser representative who is registered as an agent under section 409.4-402 and who represents a person that is both registered as a broker-dealer under section 409.4-401 and registered as an investment adviser under section 409.4-403 or required as a federal covered investment adviser to make a notice filing under section 409.4-405 is not required to pay an initial or annual registration fee for registration as an investment adviser representative.

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(L. 2003 H.B. 380)

Effective 9-01-03


---- end of effective   01 Sep 2003 ----

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