Fees
Registration of Securities, Claims of Exemption from Registration, and Notice Filings
| Mutual Funds Federal Notice Filing Fee Pursuant to 58-13C-302 |
$525 |
| Unit Investment Trust Federal Notice Filing Fee Pursuant to 58-13C-302 |
$200 |
| Reg. D, Rule 506 Federal Notice Filing Fee | $350 |
| Reg. D, Rule 505 Claim of Exemption Filing Fee | $350 |
| Amendment to Change Name of Issuer NMAC 12.11.8.8(F) | $50 |
| Registration Fee (Coordination, Qualification & Filing) - 1/10 of 1% of aggregated amount of securities to be offered in NM. $525.00 minimum $2500.00 maximum |
$525 - $2500 |
| Fee to Register Additional Securities After Effective Date of Registration (Not applicable to mutual funds after June 30, 1999) - 3/10 of 1% of aggregated amount of securities to be offered in NM. $525.00 minimum $2500.00 maximum | $525 - $2500 |
| Small Company Offering Registration (SCOR) fee | $525 |
| Claim of Exemption 58-13C-202N [Sales to Ten or Fewer Purchasers] | $0 |
| Claim of Exemption 58-13C-202X [Small Offerings by Issuers With Local Operations] | $350 |
| Claim of Exemption 58-13C-202Y [Limited Offering Exemption] | $0 |
| Claim of Exemption 58-13C-202R [merger/reorganization] | $50 |
| Accredited Investor Claim of Exemption NMAC 12.11.12.19 | $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 (State Licensed or Federally Licensed) | $300 |
| *Broker-Dealer and Investment Adviser Representative Licensing and Renewal Fees | $50 |
| Broker Dealer and Investment Adviser Name Change Fees NMAC 12.11.1.11(A) | $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 the NASD submit payment directly to the NASD.
Miscellaneous Fees
| Interpretive Opinion and No Action Letters | $300 |
