Fee Schedule
DESCRIPTION |
STATUTE SECTION |
FEE |
| Copy Fee (per paper page) | 11-51-707 | $0.25 |
| Electronic Copies of Lists (per request) | 11-51-707 | $ (Actual Cost, $75--$250) |
|
Registration
by Coordination |
11-51-303 |
$200 |
|
Registration
by Qualification & Form U-7 |
11-51-304(1-5) |
$100 |
|
Registration
by Limited Qualification (RL) |
11-51-304(6) |
$50 |
|
Registration
by Qualification of Viatical Investments |
11-51-304(1-5) |
$100 |
|
Regulation
A Exemptions |
11-51-308(1)(p) |
$75 |
|
Regulation
D Exemptions |
11-51-308(1)(p) |
$75 |
|
Mutual
Funds (initials/renewals) |
11-51-307(1)(k) |
$325 (as of 12/1/2011) |
|
Unit
Investment Trusts (initials/renewals) |
11-51-307(1)(k) |
$180 (as of 12/1/2011) |
|
Colorado
Bond Registration |
11-59-110(6,8) |
$500 |
|
Colorado
Bond Exemption |
11-59-110(2,3) |
$100 |
|
Local
Government Trust Registration |
11-51-905 |
$1,000
- $5,000 |
|
Local
Government Trust Annual |
11-51-906 |
$400
- $2,000 |
|
Opinion
or No-Action Request |
11-51-705 |
$100 |
|
Colorado/FINRA
Broker Dealer |
11-51-401 |
$75
|
|
Colorado/FINRA
Sales Representative |
11-51-401 |
$13
|
|
Colorado
Broker Dealer |
11-51-401 |
$75
|
|
Colorado
Sales Representative |
11-51-401 |
$13
|
|
Mortgage
Broker Dealer |
11-51-401 |
$75
|
|
Mortgage
Sales Representative |
11-51-401 |
$13
|
|
SEC Investment Advisor - Notice Filed |
11-51-401 |
$75
|
|
SEC Investment Advisor Representative |
11-51-401 |
$13
|
|
Investment Advisor - State registered |
11-51-401 |
$75
|
|
Investment Advisor Rep- State registered |
11-51-401 |
$13
|
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