(a)A person shall pay a fee of two hundred fifty dollars
($250.00) when initially filing an application for registration
as a broker-dealer and a fee of two hundred fifty dollars
($250.00) when filing a renewal of registration as a broker-
dealer. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(b)The fee for an individual is forty-five dollars
($45.00) when filing an application for registration as an
agent, a fee of forty-five dollars ($45.00) when filing a
renewal of registration as an agent, and a fee of forty-five
dollars ($45.00) when filing for a change of registration as an
agent. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(c)A person shall pay a fee of two hundred fift
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(a) A person shall pay a fee of two hundred fifty dollars
($250.00) when initially filing an application for registration
as a broker-dealer and a fee of two hundred fifty dollars
($250.00) when filing a renewal of registration as a broker-
dealer. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(b) The fee for an individual is forty-five dollars
($45.00) when filing an application for registration as an
agent, a fee of forty-five dollars ($45.00) when filing a
renewal of registration as an agent, and a fee of forty-five
dollars ($45.00) when filing for a change of registration as an
agent. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(c) A person shall pay a fee of two hundred fifty dollars
($250.00) when filing an application for registration as an
investment adviser and a fee of two hundred fifty dollars
($250.00) when filing a renewal of registration as an investment
adviser. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(d) The fee for an individual is forty-five dollars
($45.00) when filing an application for registration as an
investment adviser representative, a fee of forty-five dollars
($45.00) when filing a renewal of registration as an investment
adviser representative, and a fee of forty-five dollars ($45.00)
when filing a change of registration as an investment adviser
representative. If the filing results in a denial or withdrawal,
the secretary of state shall retain the entire fee.
(e) A federal covered investment adviser required to file
a notice under W.S. 17-4-405 shall pay an initial fee of two
hundred fifty dollars ($250.00) and an annual notice fee of two
hundred fifty dollars ($250.00).
(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 act.
(g) An investment adviser representative who is registered
as an agent under W.S. 17-4-402 and who represents a person that
is both registered as a broker-dealer under W.S. 17-4-401 and
registered as an investment adviser under W.S. 17-4-403 or
required as a federal covered investment adviser to make a
notice filing under W.S. 17-4-405 is not required to pay an
initial or annual registration fee for registration as an
investment adviser representative.