Doug Little
Commissioner
Boyd Dunn
Commissioner
Tom Forese
Chairman
Andy Tobin
Commissioner
Bob Burns
Commissioner

 

 

         

Securities Division

Licensing And Registration Fees

ARS 44-1861 - Dealer Registration and Renewal Fees - $300

ARS 44-1861 - Salesman Registration and Renewal Fees - $45

ARS 44-1861 - Issuer Dealer Registration and Renewal Fees - $100

ARS 44-1861 - Name Change Fees - $100

ARS 44-1861 - Registration By Description - $200- $2,000

ARS 44-1861 - ULOR/SCOR - $250

ARS 44-1892 - Registration By Qualification - $200 - $2,000

ARS 44-3152 - Private Fund Adviser Exemption - $125

ARS 44-3181 - Investor Adviser License and Renewal Fees - $250

ARS 44-3181 - Investor Adviser Representative License and Renewal Fees - $40

ARS 44-3324 - Mutual Funds - $200 or $3,500

R14-4-126 - Regulation D - $250 Initial Filing Fee, $100 Final Filing Fee

R14-4-140 - Filing Fee - $100

CER Filings - Same as Registration By Qualification

Regulation A Offerings - Same as Registration By Qualification

 

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