|
Broker-Dealer (BD) |
|
|
Initial License FEE |
$250 |
|
Application FEE (non-refundable) |
$50 |
|
Amended License FEE |
$100 |
|
Renewal FEE |
$250 |
|
|
|
|
State
Covered Investment Adviser (IA) |
|
|
Initial License FEE |
$200 |
|
Application FEE (non-refundable) |
$50 |
|
Amended License FEE |
$100 |
|
Renewal FEE |
$200 |
|
|
|
|
Federal Covered Investment Adviser (IA) |
|
|
Initial Notice Filing FEE |
$250 |
|
Name
Change Amendment Notice FEE |
$100 |
|
Annual
Notice Renewal Filing FEE |
$200 |
|
|
|
|
Agents
(BD & IA) |
|
|
Initial License FEE |
$100 |
|
Application FEE (non-refundable) |
$30 |
|
Amended License FEE |
$25 |
|
Renewal FEE |
$100 |
|
|
|
|
Issuer-Dealer (ID) |
|
|
Initial Agent License FEE |
$50 |
|
Agent
Application FEE (non-refundable) |
$25 |
|
Agent
Renewal FEE |
$50 |
|
Initial ID License FEE |
$50 |
|
ID
License Renewal FEE |
$50 |
|
|
|
|
Securities Registration/Exemptions/Notice Filings |
|
|
Open End Mutual
Fund Notice Filing per 1933 Act 18(b)(2) Initial
Notice Filing FEE (per class) |
$1,000 |
|
Annual Renewal FEE
Notice - Open-End Mutual Fund Companies (per
class) |
$1,000 |
|
Offer or sale of
Covered Securities of other Investment Companies
per 1933 Act 18(b)(2) |
$500 |
|
Private Placements
per RSA 421-B:17, II(h) Exam FEE |
$300 |
|
|
|
|
Offer or sale of
Securities per RSA 421-B:17, II(r) FEE |
$500 |
|
Non-issuer
transactions per 1933 Act 18(b)(4)(A) Filing Fee
(one time) |
$500 |
|
Notice Filing Fee
(initial and annual renewal) for sales of covered
securities per 1933 Act 18(b)(4)(D) |
$500 |
|
|
|
|
Initial
registration FEE and annual renewal fee (if
offering continues) prior to offer or sales of
securities - 2/10ths of one percent of the
offering value of the issue. FEE shall not exceed
$1,050. In addition, a $200 non-refundable
examination FEE for each type and class of
securities. |
|
|
|
|
Initial notice
filing FEE and annual renewal fee (if offering
continues) prior to offer or sales of covered
securities under 1933 Act 18(b)(4)(C) and 18(b)(3)
- 2/10ths of one percent of the offering value of
the issue. FEE shall not exceed $1,050. In
addition, a $200 non-refundable initial notice FEE
for each security. |
|
|
|
|
Professional Bondsmen |
|
|
Exam FEE |
$400 |
|
Initial FEE per
county registered |
$100 |
|
Annual Renewal FEE
per county registered |
$100 |
|
|
|
