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RSA 421-B:4-410 · Filing Fees

Title: XXXVIII: SECURITIES
Chapter: 421-B · UNIFORM SECURITIES ACT
Status: current
Official source linked: Yes

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421-B:4-410 Filing Fees. –

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(a)

Broker-dealers. A person shall pay a fee of $300 when initially filing an application for registration as a broker-dealer and a fee of $250 when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the secretary of state shall retain $50 of the fee.

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(b)

Agents. The fee for an individual is $130 when filing an application for registration as an agent, a fee of $100 when filing a renewal of registration as an agent, and a fee of $25 when filing for a change of registration as an agent. If the filing results in a denial or withdrawal, the secretary of state shall retain $30 of the fee.

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(c)

Investment advisers. A person shall pay a fee of $250 when filing an application for registration as an investment adviser and a fee of $200 when filing a renewal of registration as an investment adviser. If the filing results in a denial or withdrawal, the secretary of state shall retain $50 of the fee.

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(d)

Investment adviser representatives. The fee for an individual is $125 when filing an application for registration as an investment adviser representative, a fee of $100 ($50 per agent; $50 per license) when filing a renewal of registration as an investment adviser representative, and a fee of $100 when filing a change of registration as an investment adviser representative. If the filing results in a denial or withdrawal, the secretary of state shall retain $25 of the fee.

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(e)

Federal covered investment advisers. A federal covered investment adviser required to file a notice under RSA 421-B:4-405 shall pay an initial fee of $250 and an annual notice fee of $200.

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(f)

Payment. A person required to pay a filing or notice fee under this section may transmit the fee through or to a designee as a rule or order provides under this chapter.

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(g)

Dual agent/investment adviser representative. An investment adviser representative who is registered as an agent under RSA 421-B:4-402 and who represents a person that is both registered as a broker-dealer under RSA 421-B:4-401 and registered as an investment adviser under RSA 421-B:4-403 or required as a federal covered investment adviser to make a notice filing under RSA 421-B:4-405 is not required to pay an initial or annual registration fee for registration as an investment adviser representative. Source. 2015, 273:1, eff. Jan. 1, 2016.

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Source note

Source. 2015, 273:1, eff. Jan. 1, 2016.

Source history

2015, 273:1, eff. Jan. 1, 2016

Related materials

Bill relationships

2026 HB639 reference
staking solely with that person’s own funds or digital assets and not the funds or digital assets of another, shall not be deemed to be offering or selling a security pursuant to RSA 421-B. V. A digital asset exchange that offers to provide staking as a service to any person shall not be deemed to be offering or selling a security pursuant to RSA 421-B provided that: (a) The digital assets staked
2026 HB639-FN reference
staking solely with that person’s own funds or digital assets and not the funds or digital assets of another, shall not be deemed to be offering or selling a security pursuant to RSA 421-B. V. A digital asset exchange that offers to provide staking as a service to any person shall not be deemed to be offering or selling a security pursuant to RSA 421-B provided that: (a) The digital assets staked