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
The Business Registration Division of the Department of Commerce and Consumer Affairs announces that starting January 1, 2015, certain securities and franchise filing fees will be temporarily reduced by 50% from the statutory fee for a one year period.  The filing fees will automatically readjust to the statutory fee on January 1, 2016.

The following is the list of the filings affected and the new filing fees:

JAN. 1, 2015-             JAN. 1, 2016
STATUTORY            DEC. 31, 2015            AND THERE-
 DCCA FEE                REDUCED FEE            AFTER           

Dealer Application       $200.00                         $100.00                    $200.00
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
Invstmnt 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.  To view the above information in PDF format, click here.