Securities Fees
IMPORTANT NEWS
Effective June 1, 2012 the Division will no longer accept checks for Mutual Funds or Unit Investment Trust only. Payments will be accepted via ACH, wire transfer, or Blue Express. For further information, please contact the Compliance Manager, Rosemarie Ulibarri at 505.476.4584.
| Registration of Securities, Claims of Exemption and Notice Filing Fees |
|
| Mutual Funds Federal Notice Filing Fee |
$525 |
| Unit Investment Trust Federal Notice Filing Fee |
$200 |
|
Reg. D, Rule 506 Federal Notice Filing Fee
If filed 10 days after due date
if filed 11 days or more after due date |
$350
$700
$1050 |
| Reg. D, Rule 505 Claim of Exemption Filing Fee |
$350 |
| Amendment to Change Name of Issuer |
$50 |
| Coordination, Qualification & Filing –1/10 of 1% of aggregate amount of securities to be offered in NM. |
$525 - $2500 |
| Industrial Revenue Bonds –1/10 of 1% of aggregate amount of securities to be offered in NM. |
$525 - $2500 |
| Fee to Register Additional Securities After Effective Date of Registration - 3/10 of 1% of aggregate amount of securities to be offered in NM. |
$525 - $2500 |
| Small Company Offering Registration (SCOR) fee |
$525 |
| Exempt Transactions 202N Sales to Ten or Fewer Purchasers |
$0 |
| Exempt Transactions 202R Merger/Reorganization |
$50 |
| Exempt Transactions 202X Small Offerings by Issuers With Local Operations |
$350 |
| Exempt Transactions 202Y Limited Offering Exemption |
$0 |
| Accredited Investor Claim of Exemption |
$350 |
| Licensure of Broker-Dealers, Investment Advisers and their Representatives |
|
| *Broker-Dealer Licensing Application and Renewal Fees |
$300 |
| Investment Adviser Licensing Application, Renewal and Notice Filing Fees |
$300 |
| *Broker-Dealer and Investment Adviser Representative Licensing and Renewal Fees |
$50 |
| Broker Dealer and Investment Adviser Name Change Fees |
$50 |
| *Mass Transfer Fee (per representative) |
$50 |
| Issuer Sales Representative Licensing Application and Renewal Fees |
$50 |
| *Broker-dealers and their representatives that are members of FINRA submit payment directly to FINRA. |
|
| Miscellaneous Fees |
|
| Interpretive Opinion and No Action Letters |
$300 |