| Securities Registration |
|
|
Qualification Registration
Coordinated Registration
Notification Registration
|
300.00
300.00
300.00
|
| Securities Exemptions |
|
|
Notice of Intention to Sell (Blue Chip Mutual Funds)
Other Securities Exemptions
|
500.00
60.00
|
| Transactional Exemptions |
|
|
All Transactional Exemptions |
60.00 |
| Notice Filings |
|
|
Investment Companies
Regulation D, Rule 506
Rule 506 more than 15 days after first sale in Utah
Federal Covered Advisers
|
600.00
100.00
500.00
100.00
|
| No-action and Interpretative Opinions |
120.00 |
| Licensing |
|
|
Agent (new and renewal)
Broker/Dealer (new and renewal)
Investment Adviser (new and renewal)
Investment Adviser Representative (new and renewal)
|
60.00
200.00
100.00
50.00
|
| Certified Dealer |
500.00 |
| Fairness Hearings |
1,500.00 |
