§16-39-103 - Fees.

§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.

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

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