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Arizona Corporation Commission

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Securities Division
Matthew J. Neubert - Director
1300 W. Washington St. 3^rd Floor
Phoenix, AZ 85007
(602) 542-4242
(866) 837-4399

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Licensing And Registration Fees

ARS 44-1861 - Dealer Registration and Renewal Fees - $300
ARS 44-1861 - Salesman Registration and Renewal Fees - $40
ARS 44-1861 - Issuer Dealer Registration and Renewal Fees - $100
ARS 44-1861 - Name Change Fees - $100
ARS 44-1861 - Registration By Description - $200- $2000
ARS 44-1861 - ULOR/SCOR - $250
ARS 44-1892 - Registration By Qualification - $200 - $2000
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 $3500
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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