409.4-410. (a) A person shall pay a fee of two hundred dollars wheninitially filing an application for registration as a broker-dealer and afee of one hundred dollars when filing a renewal of registration as abroker-dealer. If the filing results in a denial or withdrawal, thecommissioner shall retain the entire fee.
(b) The fee for an individual is fifty dollars when filing anapplication for registration as an agent, a fee of fifty dollars whenfiling a renewal of registration as an agent, and a fee of fifty dollarswhen filing for a change of registration as an agent. If the filingresults in a denial or withdrawal, the commissioner shall retain the entirefee.
(c) A person shall pay a fee of two hundred dollars when filing anapplication for registration as an investment adviser and a fee of onehundred dollars when filing a renewal of registration as an investmentadviser. If the filing results in a denial or withdrawal, the commissionershall retain the entire fee.
(d) The fee for an individual is fifty dollars when filing anapplication for registration as an investment adviser representative, a feeof fifty dollars when filing a renewal of registration as an investmentadviser representative, and a fee of fifty dollars when filing a change ofregistration as an investment adviser representative. If the filingresults in a denial or withdrawal, the commissioner shall retain the entirefee.
(e) A federal covered investment adviser required to file a noticeunder section 409.4-405 shall pay an initial fee of two hundred dollars andan annual notice fee of one hundred dollars.
(f) A person required to pay a filing or notice fee under thissection may transmit the fee through or to a designee as a rule or orderprovides under this act.
(g) An investment adviser representative who is registered as anagent under section 409.4-402 and who represents a person that is bothregistered as a broker-dealer under section 409.4-401 and registered as aninvestment adviser under section 409.4-403 or required as a federal coveredinvestment adviser to make a notice filing under section 409.4-405 is notrequired to pay an initial or annual registration fee for registration asan investment adviser representative.
409.4-410. (a) A person shall pay a fee of two hundred dollars wheninitially filing an application for registration as a broker-dealer and afee of one hundred dollars when filing a renewal of registration as abroker-dealer. If the filing results in a denial or withdrawal, thecommissioner shall retain the entire fee.
(b) The fee for an individual is fifty dollars when filing anapplication for registration as an agent, a fee of fifty dollars whenfiling a renewal of registration as an agent, and a fee of fifty dollarswhen filing for a change of registration as an agent. If the filingresults in a denial or withdrawal, the commissioner shall retain the entirefee.
(c) A person shall pay a fee of two hundred dollars when filing anapplication for registration as an investment adviser and a fee of onehundred dollars when filing a renewal of registration as an investmentadviser. If the filing results in a denial or withdrawal, the commissionershall retain the entire fee.
(d) The fee for an individual is fifty dollars when filing anapplication for registration as an investment adviser representative, a feeof fifty dollars when filing a renewal of registration as an investmentadviser representative, and a fee of fifty dollars when filing a change ofregistration as an investment adviser representative. If the filingresults in a denial or withdrawal, the commissioner shall retain the entirefee.
(e) A federal covered investment adviser required to file a noticeunder section 409.4-405 shall pay an initial fee of two hundred dollars andan annual notice fee of one hundred dollars.
(f) A person required to pay a filing or notice fee under thissection may transmit the fee through or to a designee as a rule or orderprovides under this act.
(g) An investment adviser representative who is registered as anagent under section 409.4-402 and who represents a person that is bothregistered as a broker-dealer under section 409.4-401 and registered as aninvestment adviser under section 409.4-403 or required as a federal coveredinvestment adviser to make a notice filing under section 409.4-405 is notrequired to pay an initial or annual registration fee for registration asan investment adviser representative.
409.4-410. (a) A person shall pay a fee of two hundred dollars wheninitially filing an application for registration as a broker-dealer and afee of one hundred dollars when filing a renewal of registration as abroker-dealer. If the filing results in a denial or withdrawal, thecommissioner shall retain the entire fee.
(b) The fee for an individual is fifty dollars when filing anapplication for registration as an agent, a fee of fifty dollars whenfiling a renewal of registration as an agent, and a fee of fifty dollarswhen filing for a change of registration as an agent. If the filingresults in a denial or withdrawal, the commissioner shall retain the entirefee.
(c) A person shall pay a fee of two hundred dollars when filing anapplication for registration as an investment adviser and a fee of onehundred dollars when filing a renewal of registration as an investmentadviser. If the filing results in a denial or withdrawal, the commissionershall retain the entire fee.
(d) The fee for an individual is fifty dollars when filing anapplication for registration as an investment adviser representative, a feeof fifty dollars when filing a renewal of registration as an investmentadviser representative, and a fee of fifty dollars when filing a change ofregistration as an investment adviser representative. If the filingresults in a denial or withdrawal, the commissioner shall retain the entirefee.
(e) A federal covered investment adviser required to file a noticeunder section 409.4-405 shall pay an initial fee of two hundred dollars andan annual notice fee of one hundred dollars.
(f) A person required to pay a filing or notice fee under thissection may transmit the fee through or to a designee as a rule or orderprovides under this act.
(g) An investment adviser representative who is registered as anagent under section 409.4-402 and who represents a person that is bothregistered as a broker-dealer under section 409.4-401 and registered as aninvestment adviser under section 409.4-403 or required as a federal coveredinvestment adviser to make a notice filing under section 409.4-405 is notrequired to pay an initial or annual registration fee for registration asan investment adviser representative.
