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

Indiana Statutes

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

Indiana·Title 23 BUSINESS AND OTHER ASSOCIATIONS·Art. 19 INDIANA UNIFORM SECURITIES ACT·Ch. 4 Broker-Dealers, Agents, Investment Advisers,

(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.