NOTE:
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)
| Initial – 1/10 of 1% of the dollar amount of the offering | minimum $300, maximum $1000 |
| Renewal/Termination – 1/10 of 1% of the amount sold in the previous year | minimum $300, maximum $1000 annually |
Form D/Rule 506
| Initial | $300 |
| Renewal/Termination | $50 |
| Late Filing Fee - 1&percent; of the dollar amount of the offering sold in Mississippi | maximum $5000 |
Exemptions under Mississippi Securities Act §75-71-203
| Rule 701 Uniform Limited Offering Exemption | $300 |
| Rule 703 Exemption from Registration for Certain Domestic Issuers | $300 |
| Rule 717 Accredited Investor Exemption | $300 |
Registration of Securities under Mississippi Securities Act §75-71-305 - Coordination and Qualification
| Initial - 1/10 of 1% of the dollar amount of the offering to be registered | minimum $300, maximum $1000 |
| Re-Registration - 1/10 of 1% of the dollar amount of the offering to be registered | minimum $300, maximum $1000 annually |
| Increase Offering Amount - 1/10 of 1% of the dollar amount of the additional securities registered | minimum $300, maximum $1000 annually |
Other Fees
| Name Change Amendment | $150 |
| Opinion Letter | $300 |
*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.