Fee Schedule
An overview of fees required by the Bureau of Securities for filings, licensure, and renewals.
Please refer to RSA 421-B:6-614 for a complete list of fees.
BROKER-DEALER (BD)
|
Initial License Fee |
$250 |
|
Application Fee (non-refundable) |
$50 |
|
Renewal Fee |
$250 |
STATE COVERED INVESTMENT ADVISER (IA)
|
Initial License Fee |
$200 |
|
Application Fee (non-refundable) |
$50 |
|
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 |
|
Renewal Fee |
$100 |
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 |
$1,000 |
|
Offer or sale of Covered Securities of other Investment Companies per 1933 Act 18(b)(2) |
$500 |
|
Non-issuer transactions per 1933 Act 18(b)(4)(A) |
$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.