Securities Filing Fees

Securities 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 Adviser Application $100.00 $50.00 $100.00
Investment Adviser Renewal $100.00 $50.00 $100.00
Sales Agent Application $50.00 $25.00 $50.00
Sales Agent 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.