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.
Securities Filing Fees Effective July 1, 2020
|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
|Late Filing Fee - 1&percent; 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|
|Name Change Amendment||$150|
*Broker-Dealers and Broker-Dealer Agent fees are paid through FINRA's CRD system.
*Investment Advisers and Investment Adviser Representative fees are paid through FINRA's IARD system.