Fee Details

Registration by Coordination

(RC)

• Initial (Same as annual) Filing Fee ($500)

Registration by Qualification

(RQ)

• Initial (Same as annual) Filing Fee ($500)

Federally Covered Securities

(FCS)

• Initial Filing Fee ($900)
• Renewal Filing Fee ($900)

Regulation A – Tier 1

(Reg A – Tier 1)

(Coordinated Review)

• Filing Fee ($500)

Regulation A – Tier 2

(Reg A – Tier 2)

• No Filing Fee

Franchise

• Initial Filing Fee ($500)
• Renewal Filing Fee ($250)
• Exemption Determination Letter ($50)

Regulation D

(Reg D)

• No Filing Fee

State Crowdfunding

(Issuer)

• Filing Fee ($100)

State Crowdfunding

(Web Operator)

• Filing Fee ($100)

Federal Crowdfunding

• No Filing Fee

Restricted Agent

• Initial Filing Fee ($25)
• Renewal Filing Fee ($25)

Motor Club

• Initial Filing Fee ($50)
• Renewal Filing Fee ($50)

Continuing Care Retirement Communities

(CCRC)

• Initial Filing Fee ($250)
• Annual Filing Fee ($100)

Collection Agency

(Company License)

• Initial Filing Fee ($100)
• Renewal Filing Fee ($100)

Collection Agency Branch

(Branch License)

• Initial Filing Fee ($30)
• Renewal Filing Fee ($30)

Loan Broker

(Company License)

• Initial Filing Fee ($200)
• Renewal Filing Fee ($200)

Loan Broker Branch

(Branch License)

• Initial Filing Fee ($75)
• Renewal Filing Fee ($75)

Principal Manager

(PM – Individual License)

• Initial Filing Fee ($100)
• Renewal Filing Fee ($100)

Mortgage Loan Originator

(MLO – Individual License)

• Initial Filing Fee ($50)
• Renewal Filing Fee ($50)

Loan Processing Company

(Registration)

• Initial Filing Fee ($25)
• Renewal Filing Fee ($25)

Waiver Request

• Examination Waiver: Investment Adviser Representative (No Fee)
• Examination Waiver: Broker-Dealer Agent (No Fee)
• Dual Principal Waiver (No Fee)
• Dual Registration Waiver (No Fee)

Broker-Dealer Registration

(BD – Company)

• Initial Filing Fee ($250)
• Renewal Filing Fee ($125)

Broker-Dealer Agent Registration

(AG - Individual)

• Initial Filing Fee ($25)
• Renewal Filing Fee ($25)

Canadian Broker-Dealer Filing

• No Filing Fee

Investment Adviser Registration

(IA – Company)

• Initial Filing Fee ($100)
• Renewal Filing Fee ($50)

Investment Adviser Representative Registration

(RA - Individual)

• Initial Filing Fee ($25)
• Renewal Filing Fee ($25)

Interpretive Opinion / No Action Request

• Subject to Fee ($100)