3 AAC 08.015 - Fees and assessments

(a) The following fees are established for registration of broker-dealers, agents, and investment adviser representatives, and state investment advisers, and for filing of notices of federal covered advisers:

(1) application fee for an initial or annual renewal registration or notice, for

(A) a broker-dealer, $250;

(B) an agent of a broker-dealer or issuer, $75;

(C) an investment adviser representative, $75;

(D) a state investment adviser, $250;

(E) a federal covered adviser, $250;

(F) a broker-dealer branch office, $75;

(2) application fee for registration or notice of a successor, for a

(A) registered broker-dealer, $125;

(B) registered state investment adviser, $125;

(C) noticed federal covered adviser, $125;

(3) application fee for a broker-dealer or issuer to transfer the unexpired portion of registration of an agent, $75;

(4) application fee for a successor state investment adviser or successor federal covered adviser to transfer the unexpired portion of registration of an investment adviser, $75.

(b) For an initial or annual examination, or for an investigation conducted under AS 45.55.910, the administrator will assess to the issuer, broker-dealer, agent, investment advisor representative, federal covered adviser, or state investment adviser who is the subject of the examination or investigation, a fee of $150 plus the proportionate part of the actual travel expenses and per diem incurred by each examiner while away from the examiner's duty station. The assessment shall be made as soon as possible after the examination or investigation has been completed, and payment of the assessment must be received by the department within 30 days after the assessment is mailed to the subject of the examination or investigation.

(c) Fees paid or assessed under this section are nonrefundable. The fees must be paid by check, money order, or another payment form approved by the administrator and made payable to the State of Alaska.

Notes

3 AAC 08.015

Eff. 9/8/91, Register 119; am 10/1/99, Register 151; am 1/17/2016, Register 217, April 2016

Authority: AS 45.55.040

AS 45.55.910

AS 45.55.915