Investor protection filing fee guide
Investments, Registration & Regulation
Investment protection (securities) filing fees |
|||
|---|---|---|---|
| Filing | Form | Fee | Paid to |
| Broker-dealer | M-1 (NASD) | $1,200 (every four years) | New York State Department of Law |
| Broker-dealer | M-1 (non-NASD) | $300 (per year) | New York State Department of Law |
| Salesperson | M-2 | $150 (every four years) Initial NASD — $70 | New York State Department of Law |
| Broker-dealer | M-3 amendment | $30 | New York State Department of Law |
| Salesperson | M-4 amendment | $30 Re-employment after cancellation — $150 NASD transfer — $60 | New York State Department of Law |
| Broker-dealer | M-11 |
*exceeds $500,000 — $1,200 *under $500,000 — $300 |
New York State Department of Law |
| Broker-dealer | F-99 |
(Non-real estate offering) exceeds $500,000 — $1,200 under $500,000 — $300 |
New York State Department of Law |
| Broker-dealer | F-99 |
(Real estate offering) *exceeds $500,000 — $1,950 *under $500,000 — $1,050 |
New York State Department of Law |
| Securities exemption: §359f (2)a,b,c,d, or e | Verified petition or affidavit | $300 | New York State Department of Law |
| Securities no action/no filing | By letter | $225 | New York State Department of State |
| Consent to service of process | U-2 | $35 | New York State Department of State |
|
*State notice *Further state notice |
$75 Total $150 $75 |
New York State Department of Law | |
| Commodities | CMBD | $100 | New York State Department of Law |
| Commodities | CADV | $100 | New York State Department of Law |
| Commodities salesperson | CM 2 | $25 | New York State Department of Law |
| Commodities | CM 3 | $10 | New York State Department of Law |
| Commodities salesperson | CM 4 |
Initial fee $10 Re-employment after cancellation $25 |
New York State Department of Law |
| Franchise | UFRA-A, UFRA-B, UFRA-C, UFRA-E, UFRA-F |
Initial filing — $750 Renewal — $150 |
New York State Department of Law |
| Franchise consent to service of process | UFRA-D | $35 | New York State Department of State |
| Franchise exemptions | Notice of appearance | $150 | New York State Department of Law |
| Investment advisers | Adv | $200 | New York State Department of Law |
| Mutual funds or investment companies | NF | $1200 | New York State Department of Law |
| Freedom of Information Law | FOIL | First five pages free; $0.25 per page after that | New York State Department of Law |
| Theatrical | F-99; ATS; TD-1A, TD-2A | No fee |
* All fees are subject to change *