§ 11a — Fees

(1) The Secretary of State shall by rule or regulation impose and shall collect reasonable fees necessary for the administration of this Act including, but not limited to, fees for the following purposes: (a) filing an application pursuant to paragraph (2) of subsection F of Section 4 of this Act; (b) examining an application and report pursuant to paragraph (2) of subsection F of Section 4 of this Act; (c) filing a report pursuant to subsection G of Section 4 of this Act, determined in accordance with paragraph (4) of subsection G of Section 4 of this Act; (d) examining an offering sheet pursuant to subsection P of Section 4 of this Act; (e) filing a report pursuant to subsection P of Section 4, determined in accordance with subsection P of Section 4 of this Act; (f) examining an application to register securities under subsection B of Section 5 of this Act; (g) examining an amended or supplemental prospectus filed pursuant to the undertaking required by sub-paragraph (i) of paragraph (2) of subsection B of Section 5 of this Act; (h) registering or renewing registration of securities under Section 5, determined in accordance with subsection C of Section 5 of this Act; (i) registering securities in excess of the amount initially registered, determined in accordance with paragraph (2) of subsection C of Section 5 of this Act; (j) failure to file timely an application for renewal under subsection E of Section 5 of this Act; (k) failure to file timely any document or information required under Section 5 of this Act; (l) examining an application to register face amount certificate contracts under subsection B of Section 6 of this Act; (m) examining an amended or supplemental prospectus filed pursuant to the undertaking required by sub-paragraph (f) of paragraph (2) of subsection B of Section 6 of this Act; (n) registering or renewing registration of face amount certificate contracts under Section 6 of this Act; (o) amending a registration of face amount certificate contracts pursuant to subsection E of Section 6 of this Act to add any additional series, type or class of contract; (p) failure to file timely an application for renewal under subsection F of Section 6 of this Act; (q) adding to or withdrawing from deposits with respect to face amount certificate contracts pursuant to subsection H of Section 6, a transaction charge payable at the times and in the manner specified in subsection H of Section 6 (which transaction charge shall be in addition to the annual fee called for by subsection H of Section 6 of this Act); (r) failure to file timely any document or information required under Section 6 of this Act; (s) examining an application to register investment fund shares under subsection B of Section 7 of this Act; (t) examining an amended or supplemental prospectus filed pursuant to the undertaking required by sub-paragraph (f) of paragraph (2) of subsection B of Section 7 of this Act; (u) registering or renewing registration of investment fund shares under Section 7 of this Act; (v) amending a registration of investment fund shares pursuant to subsection D of Section 7 of this Act to register an additional class or classes of investment fund shares; (w) failure to file timely an application for renewal under paragraph (l) of subsection G of Section 7 of this Act; (x) examining an application for renewal of registration of investment fund shares under paragraph (2) of subsection G of Section 7 of this Act; (y) failure to file timely any document or information required under Section 7 of this Act; (z) filing an application for registration or re-registration of a dealer or limited Canadian dealer under Section 8 of this Act for each office in this State; (aa) in connection with an application for the registration or re-registration of a salesperson under Section 8 of this Act, for the following purposes: (i) filing an application; (ii) a Securities Audit and Enforcement Fund fee; and (iii) a notification filing of federal covered investment advisers; (bb) in connection with an application for the registration or re-registration of an investment adviser under Section 8 of this Act; (cc) failure to file timely any document or information required under Section 8 of this Act; (dd) filing a consent to service of process under Section 10 of this Act; (ee) issuing a certificate pursuant to subsection B of Section 15 of this Act; (ff) issuing a certified copy pursuant to subsection C of Section 15 of this Act; (gg) issuing a non-binding statement pursuant to Section 15a of this Act; (hh) filings by Notification under Section 2a; (ii) notification filing of federal Regulation D, Section 506 offering under the Federal 1933 Act; (jj) notification filing of securities and closed-end investment company securities; (kk) notification filing of face amount certificate contracts; (ll) notification filing of open-end investment company securities; (mm) filing a report pursuant to subsection D of Section 4 of this Act; (nn) in connection with the filing of an application for registration or re-registration of an investment adviser representative under subsection D of Section 8 of this Act; (oo) filing a notice pursuant to paragraph (6) of subsection T of Section 4 of this Act; and (pp) applying for registration, or renewing registration, as a registered Internet portal pursuant to Section 8d of this Act. (2) The Secretary of State may, by rule or regulation, raise or lower any fee imposed by, and which he or she is authorized by law to collect under, this Act.

Legislative History

(Source: P.A. 99-78, eff. 7-20-15; 99-182, eff. 1-1-16 .)