CAL.Regulation
California keeps securities fee schedule funding the Financial Protection Fund
AB 2795 (Chapter 410), approved September 20, restated Corporations Code Section 25608, the fee schedule the Commissioner of Financial Protection and Innovation charges for securities filings, broker-dealer and investment adviser certificates, examinations, and hearings. All fees collected under the section go to the Financial Protection Fund.
Enrolled text (California Legislative Information) → · Governor of California
Key points
- Broker-dealer certificate applications cost $300, with a $75 minimum annual assessment each December.California Legislative Information
- Investment adviser certificates cost $125, renewable each December 31 for the same amount.California Legislative Information
- Securities qualification filings cost $200 plus one-fifth of 1 percent of aggregate value, capped at $2,500.California Legislative Information
- Examination and audit fees equal the salary and expenses of the persons performing the work.California Legislative Information
- Miscellaneous filing fees range from $20 for transfer consents to $50 for condition-removal applications.California Legislative Information
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California Legislative Information
Governor of California