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 | $1000 |
| Renewal | $300 |
Form D/Rule 506
| Initial | $300 |
| Renewal | $300 |
| Terminiation/Withdrawal | $50 |
| Late Filing Fee - 1%; of the dollar amount of the offering sold in Mississippi | maximum $5000 |
Reg A Tier 2
| Initial | $300 |
| Renewal | $300 |
| Terminiation/Withdrawal | $50 |
Registration of Securities under Mississippi Securities Act §75-71-305 - Coordination and Qualification
| Initial | $1000 |
| Re-Registration | $1000 |
| Withdrawal | $50 |
*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.