Securities and Charities | Securities

Securities  Filing Fees Effective January 1, 2010
Description Amt.
Disclosure statements (75-71-101 through 75-71-121) $500
Broker/dealer & investment advisor registration $200
Broker/dealer & investment advisor registration renewal $200
Agent registration $50
Agent 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
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
Additional Securities Registered - 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

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