The Fee Schedule as of October 1,
1999
INITIAL or ANNUAL
RENEWAL REGISTRATION OR NOTICE
| Broker-dealer |
$250 |
| Agent of broker-dealer |
$75 |
| Investment Adviser Representative (IAR) |
$75 |
| State investment
adviser |
$250 |
| Federal covered
adviser |
$250 |
REGISTRATION or
NOTICE OF SUCCESSOR
| Registered broker-dealer |
$125 |
| Registered state
investment adviser |
$125 |
| Noticed federal
covered adviser |
$125 |
TRANSFER
| Broker-dealer
transfer of agent’s unexpired
registration |
$75 |
| State
or federal covered adviser transfer
of unexpired IAR’s registration |
$75 |
SECURITIES OFFERING
Viatical Settlement
filings: $250 annually per registration.
Mutual fund notice
filings: $600 for one year or $1,100 for two years,
if an automatic one-year extension request is filed with the initial
notice filing.
Reg. D "506" notice filing: $600 for one year or $1,100 for two
years, if an automatic one-year extension request is filed with
the initial notice filing.
Registration of securities: $100 filing fee plus registration fees of $500 for one
year or $1,000 for two years, if an automatic one year
extension request is filed with the initial registration application.
| Exemption notice
under AS 45.55.900 |
$50 |
| For expedited
review of exemption notice |
$125 |
| "No Action
Letter" request |
$100 |
| Changes, additions,
or deletions |
$20
each |
| Solicitations
of Interest |
$50 |
All
checks must be made payable to the State of Alaska.
|
