15 CSR 30-59.030 - Fees

PURPOSE: This rule prescribes policies and procedures for charging registration and other fees.

(1) All fees shall accompany the application or other filing to which they pertain.

(2) Fees shall be remitted by check, draft or money order (cash is not acceptable) payable to the Director of Revenue, State of Missouri, in accordance with the following:

(A) Registration of broker-dealers (section 409.850, RSMo)

1. Initial Registration $100; and

2. Renewal Registration $ 75;

(B) Registration of each branch office of a broker-dealer

1. Initial Registration $ 50; and

2. Renewal Registration $ 30;

(C) Registration of Sales Representatives Both Initial and Renewal $15;

(D) Copies of documents and records in the division, or reports relating to the documents or records, certified upon request, may be provided for a charge of:

First Five (5) Pages 50[CENT]

Additional Pages 15[CENT]

Plus For Certification $1.50;

(sections 28.160 and 409.836, RSMo);

(E) Interpretative opinions may be provided to interested persons for a charge of fifty dollars ($50) (section 409.836, RSMo); and

(F) No refund of filing fees shall be permitted in the instances of applications for registration of broker-dealers and sales representatives even though the applications are denied or withdrawn (section 409.850(5), RSMo).

Notes

15 CSR 30-59.030

AUTHORITY: sections 409.836 and 409.850(5), RSMo 1986.* Emergency rule filed Oct. 2, 1985, effective Oct. 12, 1985, expired Feb. 9, 1986. Original rule filed Aug. 22, 1986, effective Jan. 30, 1987.

*Original authority: 409.836, RSMo 1985 and 409.850, RSMo 1985.