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.​

 

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
Initial $300
Renewal/Termination $50
Late Filing F​ee - 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

 

Other Fees
Name Change Amendment $150
Opinion Letter $300

 

*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.​