Securities Industry Participants
Notice of Changes to Securities Fees
The following Securities Division fee changes took effect on May 10, 2013. Learn more about Securities Fees.
1. Registration Fees
We have increased initial and annual securities registration fees from $250 to $300 for individuals and from $750 to $1,150 for firms.
The $100 fee for opening additional branch offices has been eliminated.
The international dealer and international adviser fees have increased from $750 to $1,150 annually.
2. Prospectus Fees
We have increased the base prospectus filing fee from $1,000 to $1,250 and the filing fee for additional types or classes of securities from $250 to $300.
3. Exemption Fees
We have increased:
4. Continuous Disclosure Fee Changes
We have increased the fee for filing annual financial statements from $100 to $250 and for filing annual information forms from $500 to $1,000.
5. Other Fee Changes
We have eliminated various daily and hourly investigation and hearing fees. There have been changes to the fees for examinations, investigations and hearings. We have also increased charges for certification from $10 to $15 and expedited transcripts from $4 to $5 per page.