17-12a410.   Filing fees.(a) Filing fees. The administrator shallestablish fees by rules and regulations, subject to the followinglimitations:

      (1)   Broker-dealers. A person shall pay a fee of not more than$300 when initially filing an application for registration as abroker-dealer and filing a renewal of registration as a broker-dealer. If thefiling results in a denial or withdrawal, theadministrator shall retain the fee.

      (2)   Agents. The fee for an individual is not more than $100 whenfiling an application for registration as an agent, when filing arenewal of registration as an agent, and when filing for a changeof registration as an agent. If the filing results in a denial orwithdrawal, the administrator shall retain the fee.

      (3)   Investment advisers. A person shall pay a fee of not morethan $300 when filing an application for registration as aninvestment adviser and when filing a renewal of registration as aninvestment adviser. If the filing results in a denial orwithdrawal, the administrator shall retain the fee.

      (4)   Investment adviser representatives. The fee for anindividual is not more than $100 when filing an application forregistration as an investment adviser representative, when filing a renewal ofregistration as an investment adviser representative,and when filing a change of registration as an investment adviserrepresentative. If the filing results in a denial or withdrawal,the administrator shall retain the fee.

      (5)   Federal covered investment advisers. A federal coveredinvestment adviser required to file a notice underK.S.A. 17-12a405, and amendments thereto, shall pay an initial fee and anannual noticefee of not more than $300.

      (b)   Payment. A person required to pay a filing or notice feeunder this section may transmit the fee through or to a designee asa rule or order provides under this act.

      History:   L. 2004, ch. 154, § 27; July 1, 2005.