Broker-Dealers and Broker-Dealer Agents

Broker-Dealers and Broker-Dealer Agents. A. Except for issuer agents as provided for in Rule 4.17, any person filing an initial application for registration as a broker-dealer and any person filing a renewal registration as a broker-dealer shall submit to the Division a registration or renewal fee of Two Hundred Dollars ($200.00). B. Except for issuer agents as provided for in Rule 4.17, any person filing an application for registration as an agent and any person filing a renewal registration as an agent shall submit to the Division a registration or renewal fee of Fifty Dollars ($50.00). C. Broker-dealers that are members of FINRA and agents who are associated with broker- dealers that are members of FINRA shall submit their initial filing and renewal fees through CRD. D. Any person notice filing as a broker-dealer pursuant to Rule 5.33 shall submit to the Division a notice filing or renewal fee of Two Hundred Dollars ($200.00). E. Any person notice filing as a broker-dealer agent pursuant to Rule 5.33 shall submit to the Division a notice filing or renewal fee of Fifty Dollars ($50.00).