Indiana § 23-19-4-10 Fees; transmittal of fee; exception

Indiana Statutes

§ 23-19-4-10 — Fees; transmittal of fee; exception

Indiana § 23-19-4-10

Title 23BUSINESS AND OTHER ASSOCIATIONS

Art. 19INDIANA UNIFORM SECURITIES ACT

Ch. 4Broker-Dealers, Agents, Investment Advisers,

This text of Indiana § 23-19-4-10 (Fees; transmittal of fee; exception) is published on Counsel Stack Legal Research, covering Indiana primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook

Ind. Code § 23-19-4-10 (2026).

Text

(a)A person shall pay a fee of two hundred fifty dollars ($250) when initially filing an application for registration as a broker-dealer and a fee of one hundred twenty-five dollars ($125) when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the commissioner shall retain all of the fee.

(b)The fee for an individual is twenty-five dollars ($25) when filing an application for registration as an agent, a fee of twenty-five dollars ($25) when filing a renewal of registration as an agent, and a fee of twenty-five dollars ($25) when filing for a change of registration as an agent. If the filing results in a denial or withdrawal, the commissioner shall retain all of the fee.

(c)A person shall pay a fee of one hundred dollars ($100) when fil

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(a) A person shall pay a fee of two hundred
fifty dollars ($250) when initially filing an application for registration
as a broker-dealer and a fee of one hundred twenty-five dollars ($125)
when filing a renewal of registration as a broker-dealer. If the filing
results in a denial or withdrawal, the commissioner shall retain all of
the fee.
(b) The fee for an individual is twenty-five dollars ($25) when filing
an application for registration as an agent, a fee of twenty-five dollars
($25) when filing a renewal of registration as an agent, and a fee of
twenty-five dollars ($25) when filing for a change of registration as an
agent. If the filing results in a denial or withdrawal, the commissioner
shall retain all of the fee.
(c) A person shall pay a fee of one hundred dollars ($100) when
filing an application for registration as an investment adviser and a fee
of fifty dollars ($50) when filing a renewal of registration as an
investment adviser. If the filing results in a denial or withdrawal, the
commissioner shall retain all of the fee.
(d) The fee for an individual is twenty-five dollars ($25) when filing
an application for registration as an investment adviser representative,
a fee of twenty-five dollars ($25) when filing a renewal of registration
as an investment adviser representative, and a fee of twenty-five dollars
($25) when filing a change of registration as an investment adviser
representative. If the filing results in a denial or withdrawal, the
commissioner shall retain all of the fee.
(e) A federal covered investment adviser required to file a notice
under section 5 of this chapter shall pay an initial fee of fifty dollars
($50) and an annual notice fee of fifty dollars ($50).
(f) 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 article.
(g) An investment adviser representative who is registered as an
agent under section 2 of this chapter and who represents a person that
is both registered as a broker-dealer under section 1 of this chapter and
registered as an investment adviser under section 3 of this chapter or
required as a federal covered investment adviser to make a notice filing
under section 5 of this chapter is not required to pay an initial or annual
registration fee for registration as an investment adviser representative.