Forms for Registration and Filing Fees

The following forms may be downloaded for submission to the Securities Compliance Branch.

Broker-Dealer Registration
Investment Adviser Registration
Franchise Filings
Professional Fund Raising Counsel and Professional Solicitor Filings
Effective July 1, 2005, these filings are now administered by the Department of the Attorney General.
Registration of Securities by Qualification

Filing Fees

STATUTORY DCCA FEE JAN. 1, 2020-DEC. 31, 2020 REDUCED FEE JAN. 1, 2021 AND THEREAFTER
Broker-Dealer Application $200.00 $100.00 $200.00
Broker-Dealer Renewal $200.00 $100.00 $200.00
Investment Advisor Application $100.00 $50.00 $100.00
Investment Advisor Renewal $100.00 $50.00 $100.00
Salesperson Application $50.00 $25.00 $50.00
Salesperson Renewal $50.00 $25.00 $50.00
IA Representative Application $50.00 $25.00 $50.00
IA Representative Renewal $50.00 $25.00 $50.00
       
Investment Co. Securities:      
Initial Filing $200.00 $100.00 $200.00
Renewal Filing $50.00 $25.00 $50.00
       
Franchise:      
Initial $250.00 $125.00 $250.00
Amendment $250.00 $125.00 $250.00
Renewal $250.00 $125.00 $250.00

If you have any questions, please contact the Division at (808) 586-2722.