Arkansas § 23-42-304 Filing fees - Rules

Arkansas Statutes

§ 23-42-304 — Filing fees - Rules

(a)Every applicant for initial or renewal registration, every person making a notice filing as required by § 23-42-301 , every exempt reporting adviser, and every investment adviser to a private fund shall pay a filing fee of:

(1)Three hundred dollars ($300) in the case of a broker-dealer;

(2)Seventy-five dollars ($75.00) in the case of an agent, of which twenty-five dollars ($25.00) shall be designated as special revenues and shall be deposited into the Securities Department Fund;

(3)Three hundred dollars ($300) in the case of an investment adviser;

(4)Seventy-five dollars ($75.00) in the case of a representative, of which twenty-five dollars ($25.00) shall be designated as special revenues and shall be deposited into the Securities Department Fund;

(5)Fifty dollars ($50.00) in the

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(a) Every applicant for initial or renewal registration, every person making a notice filing as required by § 23-42-301 , every exempt reporting adviser, and every investment adviser to a private fund shall pay a filing fee of: (1) Three hundred dollars ($300) in the case of a broker-dealer; (2) Seventy-five dollars ($75.00) in the case of an agent, of which twenty-five dollars ($25.00) shall be designated as special revenues and shall be deposited into the Securities Department Fund; (3) Three hundred dollars ($300) in the case of an investment adviser; (4) Seventy-five dollars ($75.00) in the case of a representative, of which twenty-five dollars ($25.00) shall be designated as special revenues and shall be deposited into the Securities Department Fund; (5) Fifty dollars ($50.00) in the case of a branch office, of which the entire amount shall be designated as special revenues and deposited into the Securities Department Fund; and (6) Three hundred dollars ($300) in the case of an exempt reporting adviser or investment adviser to a private fund that complies with exemption requirements. (b) A filing fee is nonrefundable. (c) The State Securities Department is hereby authorized to promulgate such rules necessary to administer the fees, rates, tolls, or charges for services established by this section and § 23-42-404 and is directed to prescribe and collect such fees, rates, tolls, or charges for the services by the department in such manner as may be necessary to support the programs of the department as directed by the Governor and the General Assembly.

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Legislative History

Amended by Act 2021, No. 533,§ 1, eff. 7/28/2021. Amended by Act 2019, No. 315,§ 2514, eff. 7/24/2019. Amended by Act 2017, No. 668,§ 18, eff. 8/1/2017. Acts 1959, No. 254, § 4; 1961, No. 248, § 2; 1975, No. 844, § 2; 1985, No. 939, § 2; A.S.A. 1947, § 67-1238; Acts 1987, No. 449, § 1; 1993, No. 659, §§ 2, 5; 1993, No. 850, § 2, 5; 1995, No. 845, § 14; 1997, No. 173, § 14; 2009, No. 534, § 6.