Securities Filing Fees
Securities Filing Fees Information
Statutory DCCA Fee:
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Broker-Dealer Application
$200.00
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Broker-Dealer Renewal
$200.00
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Investment Adviser Application
$100.00
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Agent Application
$50.00
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Agent Renewal
$50.00
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IA Representative Application
$50.00
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IA Representative Renewal
$50.00
Investment Co. Securities and Franchise:
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Investment Co. Securities Initial Filing
$200.00
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Investment Co. Securities Renewal Filing
$50.00
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Franchise Initial
$250.00
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Franchise Amendment
$250.00
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Franchise Renewal
$250.00
If you have any questions, please contact the Division at (808) 586-2722.