(Please make checks payable to the "State Securities Board.")
| Securities Registration, Notice Filing, and Exemption Fees: | |
|---|---|
| Filing an original, amended, or renewal application to sell or dispose of securities | $100, Act Section 35.A(1) 1 |
| Examination of an original or amended application filed under Section 7.A, 7.B, or 7.C | 1/10 of 1% of the aggregate amount of securities described and proposed to be sold to persons located within this state based upon the price at which such securities are to be offered to the public, Act Section 35.B(2) |
| A notice filing for federal covered securities | Varies, Act Sections 35.A(1) 1, 35.B(2), 35.B(7), and/or 35.B(6); Board Rule 114.4 |
| Filing of an initial notice required by the Commissioner to claim a limited offering exemption | 1/10 of 1% of the aggregate amount of securities described as being offered for sale, but in no case more than $500, Act Section 35.B(7); Board Rule 109.13 |
| Filing an initial notice required by the Commissioner to claim a secondary trading exemption | $500, Act Section 35.B(6) |
| Filing a secondary trading exemption renewal notice | $500, Act Section 35.B(6) |
| Dealer / Agent, Investment Adviser / Investment Adviser Representative Registration and Notice Filing Fees: | |
|---|---|
| Filing an original application for dealer or investment adviser registration | $75, Act Sections 35.A(2) |
| Filing a renewal application for dealer or investment adviser registration | $40, Act Sections 35.A(3) 2 |
| Notice filing for a federal covered investment adviser | $75, Act Sections 35.A(2) |
| Renewal notice filing for a federal covered investment adviser | $40, Act Sections 35.A(3) 2 |
| Filing an original application for each agent, officer, or investment adviser representative | $35, Act Sections 35.A(4) 3 |
| Filing a renewal application for each agent, officer, or investment adviser representative | $20, Act Sections 35.A(5) 4 |
| Notice filing for each representative of a federal covered investment adviser | $35, Act Sections 35.A(4) 3 |
| Renewal notice filing for a representative of a federal covered investment adviser | $20, Act Sections 35.A(5) 4 |
| Amendment to a registration certificate of a dealer or investment adviser or evidence of registration of an agent or investment adviser representative | $25, Act Section 35.B(1) |
| Issuance of a duplicate certificate or evidence of registration | $25, Act Section 35.B(1) |
| Filing a branch office registration | $25, Act Section 35.B(1) |
| Filing a request to take the Texas Securities Law Examination | $35, Act Section 35.B(5) |
| Miscellaneous Fees: | |
|---|---|
| Copies of a public record of the Agency | Varies, Board Rule 101.5 |
| Certified copies of any papers filed in the office of the Commissioner | $1 per page plus a $15 certification fee, Act Section 35.B(3) 5; Board Rule 101.5 |
| Filing for an interpretation by the Board’s General Counsel of the Texas Securities Act or a rule adopted under the Act | $100, Act Section 35.B(8) |
| Filing an application for approval of a stock exchange | $10,000, Act Section 35.B(4) |
1. This fee was set by the Board at its July 24, 2009 meeting so that effective September 1, 2009, this fee was increased by $60. Previously, at its June 24, 2003 meeting, the Board had increased this fee by $30. These fee increases were not mandated by the Texas Legislature. This notification is made pursuant to the General Appropriations Act, Article IX, Section 6.16.
2. At its June 24, 2003 meeting, the Board increased this fee by $30. At its August 2015 meeting, the Board reduced this fee by $30. In 2015, the Texas Legislature repealed Section 41 of the Texas Securities Act and reduced this fee by $200, effective September 1, 2015.
3. This fee was set by the Board at its July 24, 2009 meeting so that effective September 1, 2009, this fee was increased by $50. At its August 2015 meeting, the Board reduced this fee by $50. In 2015, the Texas Legislature repealed Section 41 of the Texas Securities Act and reduced this fee by $200, effective September 1, 2015.
4. This fee was set by the Board at its July 24, 2009 meeting so that effective September 1, 2009, this fee was increased by $25. Previously, at its June 24, 2003 meeting, the Board had increased this fee by $30. At its August 2015 meeting, the Board reduced this fee by $55. In 2015, the Texas Legislature repealed Section 41 of the Texas Securities Act and reduced this fee by $200, effective September 1, 2015.
5. This fee was set by the Board at its April 27, 2011 meeting so that effective June 21, 2011, this fee was increased by $5. Previously at its June 24, 2003 meeting, the Board had increased this fee by $5. These fee increases were not mandated by the Texas Legislature. This notification is made pursuant to the General Appropriations Act, Article IX, Section 6.16.