Iowa § 502.410 Filing fees

Iowa Statutes

§ 502.410 — Filing fees

Iowa § 502.410

Title XIIBUSINESS ENTITIES

Ch. 502UNIFORM SECURITIES ACT (BLUE SKY LAW)

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Bluebook

Iowa Code § 502.410 (2026).

Text

1.Broker-dealers. A person shall pay a fee of two hundred dollars when initially filing an application for registration as a broker-dealer and a fee of two hundred dollars when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the administrator shall retain the fee.

2.Agents. The fee for an individual is forty dollars when filing an application for registration as an agent, a fee of forty dollars when filing a renewal of registration as an agent, and a fee of forty dollars when filing for a change of registration as an agent. Of each forty-dollar fee collected, ten dollars is appropriated to the securities investor education and financial literacy training fund established under section 502.601, subsection 5. If the filing results in a

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1. Broker-dealers. A person shall pay a fee of two hundred dollars when initially filing
an application for registration as a broker-dealer and a fee of two hundred dollars when filing
a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the
administrator shall retain the fee.
2. Agents. The fee for an individual is forty dollars when filing an application for
registration as an agent, a fee of forty dollars when filing a renewal of registration as an
agent, and a fee of forty dollars when filing for a change of registration as an agent. Of each
forty-dollar fee collected, ten dollars is appropriated to the securities investor education and
financial literacy training fund established under section 502.601, subsection 5. If the filing
results in a denial or withdrawal, the administrator shall retain the fee.
3. Investment advisers. A person shall pay a fee of one hundred dollars when filing an
application for registration as an investment adviser and a fee of one hundred dollars when
filing a renewal of registration as an investment adviser. If the filing results in a denial or
withdrawal, the administrator shall retain the fee.
4. Investment adviser representatives.
a. Thefeeforanindividualisthirtydollarswhenfilinganapplicationforregistrationasan
investment adviser representative, a fee of thirty dollars when filing a renewal of registration
as an investment adviser representative, and a fee of thirty dollars when filing a change
of registration as an investment adviser representative. If the filing results in a denial or
withdrawal, the administrator shall retain the fee.
b. However, an investment adviser representative is not required to pay a filing fee if the
investment adviser is a sole proprietorship or the substantial equivalent and the investment
adviser representative is the same individual as the investment adviser.
5. Federal covered investment advisers. A federal covered investment adviser required
to file a notice under section 502.405 shall pay an initial fee of one hundred dollars and an
annual notice fee of one hundred dollars.
6. Payment. A person required to pay a filing or notice fee under this section may
transmit the fee through or to a designee as a rule or order provides under this chapter.
7. Depositoffees. Exceptasotherwiseprovidedinsubsection2, feescollectedunderthis
section shall be deposited as provided in section 505.7.