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KRS 292.335

Fees for initial or renewal registration or notice filing

Known as the Securities Act

The act spans §§ 292–292 (93 sections).

Effective: July 15, 2010 History: Created 2010 Ky

(1) The fee for initial or renewal registration shall be, for:

(a) A broker-dealer, one hundred twenty dollars ($120);

(b) An investment adviser, one hundred dollars ($100);

(c) An agent, fifty dollars ($50);

(d) An investment adviser representative, fifty dollars ($50); and (e) The transfer of an agent or investment adviser representative, fifty dollars ($50).

(2) The fee for initial or renewal notice filings shall be one hundred dollars ($100) for a covered adviser.

(3) The fees required by subsections (1) and (2) of this section shall not be refundable.

Official source: Kentucky General Assembly. Reproduced from public-domain Kentucky statutes; confirm against the official source for the current text. Not legal advice.