17-12a410.Filing fees.
(a) Filing fees. The administrator shall
establish fees by rules and regulations, subject to the following
limitations:
(1) Broker-dealers. A person shall pay a fee of not more than
$300 when initially filing an application for registration as a
broker-dealer and filing a renewal of registration as a broker-dealer. If the
filing results in a denial or withdrawal, the
administrator shall retain the fee.
(2) Agents. The fee for an individual is not more than $100 when
filing an application for registration as an agent, when filing a
renewal of registration as an agent, and when filing for a change
of registration as an agent. If the filing results in a denial or
withdrawal, the administrator shall retain the fee.
(3) Investment advisers. A person shall pay a fee of not more
than $300 when filing an application for registration as an
investment adviser and when filing a renewal of registration as an
investment adviser. If the filing results in a denial or
withdrawal, the administrator shall retain the fee.
(4) Investment adviser representatives. The fee for an
individual is not more than $100 when filing an application for
registration as an investment adviser representative, when filing a renewal of
registration as an investment adviser representative,
and when filing a change of registration as an investment adviser
representative. If the filing results in a denial or withdrawal,
the administrator shall retain the fee.
(5) Federal covered investment advisers. A federal covered
investment adviser required to file a notice under
K.S.A. 17-12a405, and amendments thereto, shall pay an initial fee and an
annual notice
fee of not more than $300.
(b) Payment. A person required to pay a filing or notice fee
under this section may transmit the fee through or to a designee as
a rule or order provides under this act.
17-12a410.Filing fees.
(a) Filing fees. The administrator shall
establish fees by rules and regulations, subject to the following
limitations:
(1) Broker-dealers. A person shall pay a fee of not more than
$300 when initially filing an application for registration as a
broker-dealer and filing a renewal of registration as a broker-dealer. If the
filing results in a denial or withdrawal, the
administrator shall retain the fee.
(2) Agents. The fee for an individual is not more than $100 when
filing an application for registration as an agent, when filing a
renewal of registration as an agent, and when filing for a change
of registration as an agent. If the filing results in a denial or
withdrawal, the administrator shall retain the fee.
(3) Investment advisers. A person shall pay a fee of not more
than $300 when filing an application for registration as an
investment adviser and when filing a renewal of registration as an
investment adviser. If the filing results in a denial or
withdrawal, the administrator shall retain the fee.
(4) Investment adviser representatives. The fee for an
individual is not more than $100 when filing an application for
registration as an investment adviser representative, when filing a renewal of
registration as an investment adviser representative,
and when filing a change of registration as an investment adviser
representative. If the filing results in a denial or withdrawal,
the administrator shall retain the fee.
(5) Federal covered investment advisers. A federal covered
investment adviser required to file a notice under
K.S.A. 17-12a405, and amendments thereto, shall pay an initial fee and an
annual notice
fee of not more than $300.
(b) Payment. A person required to pay a filing or notice fee
under this section may transmit the fee through or to a designee as
a rule or order provides under this act.
17-12a410.Filing fees.
(a) Filing fees. The administrator shall
establish fees by rules and regulations, subject to the following
limitations:
(1) Broker-dealers. A person shall pay a fee of not more than
$300 when initially filing an application for registration as a
broker-dealer and filing a renewal of registration as a broker-dealer. If the
filing results in a denial or withdrawal, the
administrator shall retain the fee.
(2) Agents. The fee for an individual is not more than $100 when
filing an application for registration as an agent, when filing a
renewal of registration as an agent, and when filing for a change
of registration as an agent. If the filing results in a denial or
withdrawal, the administrator shall retain the fee.
(3) Investment advisers. A person shall pay a fee of not more
than $300 when filing an application for registration as an
investment adviser and when filing a renewal of registration as an
investment adviser. If the filing results in a denial or
withdrawal, the administrator shall retain the fee.
(4) Investment adviser representatives. The fee for an
individual is not more than $100 when filing an application for
registration as an investment adviser representative, when filing a renewal of
registration as an investment adviser representative,
and when filing a change of registration as an investment adviser
representative. If the filing results in a denial or withdrawal,
the administrator shall retain the fee.
(5) Federal covered investment advisers. A federal covered
investment adviser required to file a notice under
K.S.A. 17-12a405, and amendments thereto, shall pay an initial fee and an
annual notice
fee of not more than $300.
(b) Payment. A person required to pay a filing or notice fee
under this section may transmit the fee through or to a designee as
a rule or order provides under this act.
