| General |
| Interpretive
opinion/no action request |
$100.00 |
| Reprint
of Maryland Securities Act and regulations |
$7.50 |
| Reprint
of Franchise Law and regulations |
$5.00 |
| Reprint
of Uniform Franchise Offering Circular (U.F.O.C.) Guidelines |
$5.00 |
| Reprint
of Business Opportunity Act and regulations |
$2.50 |
| Reprint
of Mid-Atlantic Regional Review Program Package on preparing a coordinated
SCOR or Reg A filing |
FREE |
| Small
Company Offering Registration (SCOR) package (and reprint of Maryland
Securities Act and regulations) |
$10.00 |
NASAA
manual on preparing a Small Company Offering Registration (SCOR)
|
$15.00 - Reprint
$5.00 - Diskette (specify Word or WordPerfect format)
|
| Securities
Registrations, Exemptions, Notice Filings, and Issuer Agent Registrations |
| Rule 506 (COMAR 02.02.09.09) Notices |
$100.00 |
| All other Exemption filings |
$400.00 |
| Definite
Registrations (Including SCOR) |
Initial
and Renewal (renewal due 30 days prior to anniversary
of the effective date)
|
1/10
of 1% of the aggregate offering price of the shares being offered
in Maryland, with a $500.00 minimum fee and a $1,500.00 maximum fee |
| Notice
Filings for Investment Companies |
Initial
|
$500.00 |
Renewal
(renewal due within 60 days after fiscal year end for mutual
funds and within 60 days of anniversary of effective date for
unit investment trusts)
|
With Form
NF
$500.00 + Sales Fee
(Sales
Fee Calculation: 1/10 of 1% of the aggregate offering price
of the shares sold in Maryland, with a $1,500.00 maximum fee, minus
the $500.00 paid at the beginning of the previous year.)
Without Form
NF (showing sales)
$1,800.00 minus the $500.00 fee paid at the beginning of the previous
year, plus $500.00 renewal fee for subsequent year
|
Termination
|
With Form
NF
1/10 of 1% of the aggregate offering price of the shares sold in
Maryland, with a $1,500.00 maximum fee, minus the $500.00 fee paid
at the beginning of the previous year.
Without Form
NF
$1,800.00 minus the $500.00 fee paid at the beginning of the previous
year.
|
| Issuer
Agent (Initial and Renewal) |
$35.00 |
| Broker/Dealer
Registrations |
| Initial/renewal
of application for registration of a broker/dealer (firm) |
$250.00
(See note) |
| Initial/renewal/transfer
of application for registration of an agent (stockbroker) |
$
35.00
(See note) |
| Note:
For NASD-member firms, these fees are sent and made payable
to the NASD. Agents cannot become registered without a registered
broker/dealer. All broker/dealer and agent registrations expire on
December 31 of each year and must be renewed on or before that date
for the next year. |
| Investment
Adviser Notice Filings and Registrations |
| Initial/renewal
application for registration of investment adviser (firm) |
$300.00
(See note) |
| Initial/renewal
notice filing for federal covered adviser (firm) |
$300.00
(See note) |
| Initial/renewal/transfer
for registration of investment adviser representative (agent) |
$50.00
(See note) |
| Note:
Fees should be sent and made payable to the NASD. All investment
adviser and representative registrations and notice filings expire
on
December
31st of each
year. Applications
for
renewal
must be filed by December 1st of each year. |
| Franchise
Registrations |
| Initial
application for registration |
$500.00 |
| Amendment
to an effective registration |
$100.00 |
| Renewal
application (must be renewed annually) |
$250.00 |
| Exemptions |
$250.00 |
| Business
Opportunities Filings |
| Initial
filing |
$250.00 |
| Amendment
to a filing |
$50.00 |
| Renewal
filing (must be renewed annually) |
$100.00 |
| Method
of Payment |
Cash
is not accepted. With the exception of the noted areas above,
checks should be made payable to: "Office
of the Attorney General." Payment is non-refundable
and must be included with the filing. Notice of improper payment
is
sent out immediately. Although filings and applications are processed
even if improper payment was made no registration will
be granted or notice filing accepted without receipt of the proper
fee.
Note:
|
