47-31B-410. Filing fees.
(a) Broker-dealers. A person shall pay a fee of one hundred fifty dollars when initially filing an application for registration as a broker-dealer and a fee of one hundred fifty dollars when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the director shall retain the fee.
(b) Agents. The fee for an individual is one hundred twenty five dollars when filing an application for registration as an agent, a fee of one hundred twenty five dollars when filing a renewal of registration as an agent, and a fee of one hundred twenty five dollars when filing for a change of registration as an agent. If the filing results in a denial or withdrawal, the director shall retain the fee.
(c) Investment advisers. A person shall pay a fee of one hundred dollars when filing an application for registration as an investment adviser and a fee of one hundred dollars when filing a renewal of registration as an investment adviser. If the filing results in a denial or withdrawal, the director shall retain the fee.
(d) Investment adviser representatives. The fee for an individual is fifty dollars when filing an application for registration as an investment adviser representative, a fee of fifty dollars when filing a renewal of registration as an investment adviser representative, and a fee of fifty dollars when filing a change of registration as an investment adviser representative. If the filing results in a denial or withdrawal, the director shall retain the fee.
(e) Federal covered investment advisers. A federal covered investment adviser required to file a notice under §47-31B-405 shall pay an initial fee of two hundred dollars and an annual notice fee of two hundred dollars.
(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.
Source: SL 2004, ch 278, §26.
Structure South Dakota Codified Laws
Chapter 31B - Uniform Securities Act Of 2002
Section 47-31B-101 - Short title.
Section 47-31B-102 - Definitions.
Section 47-31B-103 - References to federal statutes.
Section 47-31B-104 - References to federal agencies.
Section 47-31B-105 - Electronic records and signatures.
Section 47-31B-201 - Exempt securities.
Section 47-31B-202 - Exempt transactions.
Section 47-31B-203 - Additional exemptions and waivers.
Section 47-31B-204 - Denial, suspension, revocation, condition, or limitation of exemptions.
Section 47-31B-301 - Securities registration requirement.
Section 47-31B-302 - Notice filing.
Section 47-31B-303 - Securities registration by coordination.
Section 47-31B-304 - Securities registration by qualification.
Section 47-31B-305 - Securities registration filings.
Section 47-31B-306 - Denial, suspension, and revocation of securities registration.
Section 47-31B-307 - Waiver and modification.
Section 47-31B-401 - Broker-dealer registration requirement and exemptions.
Section 47-31B-402 - Agent registration requirement and exemptions.
Section 47-31B-403 - Investment adviser registration and exemptions.
Section 47-31B-404 - Investment adviser representative registration requirement and exemptions.
Section 47-31B-405 - Federal covered investment adviser notice filing requirement.
Section 47-31B-407 - Succession and change in registration of broker-dealer or investment advisor.
Section 47-31B-410 - Filing fees.
Section 47-31B-411 - Postregistration requirements.
Section 47-31B-501 - General fraud.
Section 47-31B-502 - Prohibited conduct in providing investment advice.
Section 47-31B-503 - Evidentiary burden.
Section 47-31B-504 - Filing of sales and advertising literature.
Section 47-31B-505 - Misleading filings.
Section 47-31B-506 - Misrepresentations concerning registration or exemption.
Section 47-31B-507 - Qualified immunity.
Section 47-31B-508 - Criminal penalties.
Section 47-31B-509 - Civil liability.
Section 47-31B-510 - Rescission offers.
Section 47-31B-601 - Administration.
Section 47-31B-602 - Investigations and subpoenas.
Section 47-31B-603 - Civil enforcement.
Section 47-31B-604 - Administrative enforcement.
Section 47-31B-605 - Rules, forms, orders, interpretive opinions, and hearings.
Section 47-31B-606 - Administrative files and opinions.
Section 47-31B-607 - Public records--Confidentiality.
Section 47-31B-608 - Uniformity and cooperation with other agencies.
Section 47-31B-609 - Judicial review.
Section 47-31B-610 - Jurisdiction.
Section 47-31B-611 - Service of process.
Section 47-31B-612 - Severability clause.
Section 47-31B-703 - Application of chapter to existing proceeding and existing rights and duties.