Haw. Code R. § 16-39-103 - Fees

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

(1) The fee for filing a notice of transaction involving the offer or sale of a security by an issuer to an accredited investor shall be $200;

(2) The fee for filing a report of the value of the federal covered securities sold or offered under section 485A-302, HRS, shall be $50;

(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 notice filing fee for a transaction under the Securities Act, Regulation D, 17 CFR Section 230.505, shall be $100;

(5) The notice filing fee for a federal covered security issued under the Securities Act, Regulation D, 17 CFR Section 230.506, shall be $100;

(6) 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;

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

(8) The application fee for registration of a securities agent shall be $50. The annual fee to renew an agent's registration shall be $50. The fee for a transfer of registration as an agent shall be $50;

(9) 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;

(10) 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;

(11) The notice filing fee for a federal covered investment adviser required to file a notice shall be $100 per calendar year. The annual fee to renew a federal covered investment adviser's notice filing shall be $100; and

(12) The filing fee for any exempt transaction granted under subchapter 2 shall be $100.

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

Notes

Haw. Code R. § 16-39-103

[Eff 6/30/08] (Auth: HRS §§ 485A-303, 485A-606) (Imp: HRS §§ 92-24, 92-28, 485A-302, 485A-304, 485A-406) Comp 11/18/2023