292.335 Fees for initial or renewal registration or notice filing.

90 words·~1 min read·/ky/chapter-292/292-335

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

(1)The fee for initial or renewal registration shall be, for:

(a)A broker-dealer, one hundred twenty dollars ($120);

(b)An investment adviser, one hundred dollars ($100);

(c)An agent, fifty dollars ($50);

(d)An investment adviser representative, fifty dollars ($50); and

(e)The transfer of an agent or investment adviser representative, fifty dollars

($50).

(2)The fee for initial or renewal notice filings shall be one hundred dollars ($100) for a

covered adviser.

(3)The fees required by subsections

(1)and

(2)of this section shall not be refundable.