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
Dealer Application $200.00
Dealer Renewal $200.00
Investment Advisor Application $100.00
Investment Advisor Renewal $100.00
Salesperson Application $50.00
Salesperson Renewal $50.00
IA Representative Application $50.00
IA Representative Renewal $50.00
Investment Co. Securities:
Initial Filing $200.00
Renewal Filing $50.00
If you have any questions, please contact the Division at (808) 586-2722.