Haw. Code R. § 16-38-3 - Fees

The following fees shall be submitted with an initial or renewal application, or notice filing:

(1) The fee for registration of securities by qualification shall be one-tenth of one per cent of the aggregate offering price of the securities to be offered in the State with a minimum fee of $250, and a maximum fee of $2,500. The annual fee to renew a registration by qualification shall be $250;

(2) The fee for registration of securities by notification shall be one-twentieth of one per cent of aggregate offering price of the securities to be offered in the State with a maximum fee of $500;

(3) The fee for an initial notice filing for investment company securities shall be $200 per portfolio or series. The annual fee to renew such notice filing shall be $50 per portfolio or series;

(4) The application fee for registration of a dealer shall be $100. The annual fee to renew a dealer's registration shall be $200;

(5) The application fee for registration of an investment adviser shall be $100. The annual fee to renew an investment adviser's registration shall be $100;

(6) The notice filing fee for a federal covered adviser shall be $100 per calendar year;

(7) The application fee for registration of a securities salesperson shall be $50. The annual fee to renew a salesperson's registration shall be $50;

(8) The application fee for registration of an investment adviser representative shall be $50. The annual fee to renew an investment adviser representative's registration shall be $50; and

(9) The fee for copies of documents filed in the office of the commissioner shall be twenty-five cents per page.

Notes

Haw. Code R. § 16-38-3

[Eff 6/4/70; am 5/27/80; am and ren § 16-38-3, 7/30/81; am and comp 10/12/85; am 4/4/87; am and comp 4/14/03] (Auth: HRS § 485-2) (Imp: HRS §§ 92-24, 92-28, 485-9, 485-10, 485-14)