Fee Schedule

NOTE: Please take care to submit the correct fee amount. There are no REFUNDS for submitting an incorrect amount or submitting a fee in error. If in doubt, contact the Securities Division.

In addition, there are are no refunds for abandoned, withdrawn or denied applications for registration, notice filing or exemption.

Securities  Filing Fees Effective January 1, 2010
Description Amt.
Broker-Dealer & Investment Adviser registration $200
Broker-Dealer & Investment Adviser registration renewal $200
Broker-Dealer Agent & Investment Adviser Representative registration
$50
Broker-Dealer Agent & Investment Adviser Representative registration renewal $50
Federal Covered Securities under §18(b)(2)
Initial – 1/10 of 1% of the dollar amount of the offering minimum $300
maximum $1000
Renewal/Termination – 1/10 of 1% of the amount sold in the previous year minimum $300
maximum $1000 annually
Form D/Rule 506
 
Initial $300
Renewal/Termination $50
Late Filing F​ee - 1% of the dollar amount of the offering sold in Mississippi ​maximum $5000
Exemptions under Mississippi Securities Act §75-71-203
 
Rule 701 Uniform Limited Offering Exemption $300
Rule 703 Exemption from Registration for Certain Domestic Issuers $300
Rule 717 Accredited Investor Exemption $300
Registration of Securities under Mississippi Securities Act §75-71-305  - Coordination and Qualification
 
Initial - 1/10 of 1% of the dollar amount of the offering to be registered minimum $300
maximum $1000
Re-Registration - 1/10 of 1% of the dollar amount of the offering to be registered minimum $300
maximum $1000 annually
Increase Offering Amount - 1/10 of 1% of the dollar amount of the additional securities registered minimum $300
maximum $1000
annually
Other Fees  
Name Change Amendment $150
Opinion Letter $300

Broker-Dealers: *Broker-Dealers and Broker-Dealer Agent fees are paid through FINRA's CRD system.

Investment Advisers: *Investment Advisers and Investment Adviser Representative fees are paid through FINRA's IARD system.​

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