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)
Form D/Rule 506
|Late Filing Fee - 1%; of the dollar amount of the offering sold in Mississippi||maximum $5000|
Reg A Tier 2
Registration of Securities under Mississippi Securities Act §75-71-305 - Coordination and Qualification
*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.