Ill. Admin. Code tit. 14 § 130.110

Current through Register Vol. 49, No. 2, January 10, 2025

Section 130.110 - Payment of Fees

a) Fees under the Act are as follows:

Section 2a (Federal covered transactions or securities)
Issuers of securities pursuant to Regulation D, Rule 506 of the Federal Act	$100
Issuers of shelf offerings	$500-$6,000**
Series issuers	$500-$3,000**
Issuers of face amount certificate contracts	$1,000
Issuers of open-end investment fund shares	$1,000 plus $100 for each series, class or portfolio
General filing fee for securities not covered above	$500-$2,500**

Section 4.D
Filing Fee	$100

Section 4.F.2
Application Filing Fee	$1,000

Section 4.G
Report of Sale Filing Fee	$100
Late filing fee	$200 ($100 filing fee plus $100 late fee)
Section 4.P
Offering Sheet Examination Fee	$300
Report of Sale Filing Fee	$10-$100*

Section 5.A
General Filing or Renewal Fee	$500-$2,500**
Filing or Renewal Fee for Shelf Offerings	$500-$6,000**
Filing or Renewal Fee for Series Issuers	$500-$3,000**

Section 5.B
If registered pursuant to the Federal 1933 Act:
General Examination Fee	$300
General Filing Fee	$500-$2,500**
Filing or Renewal Fee for Shelf Offerings	$500-$6,000**
Filing or Renewal Fee for Series Issuers	$500-$3,000**
If not registered pursuant to the Federal 1933 Act:
Examination Fee	$150
Filing Fee	$250
Amendment Examination Fee	$25
Section 5.C
Additional Fee	$500

Section 5.E
Additional fee for renewal of securities 9 business days or less but prior to expiration of registration or renewal	$200
Additional fee after expiration of registration or renewal (not to exceed one year after the date of expiration of the most recent registration or renewal)	1^st-30^th day
	$500
	31^st-60^th day
	$1,000
	61^st-90^th day
	$1,500
	91^st-120^th day
	$2,000
	121^st-150^th day
	$2,500
	151^st-180^th day
	$3,000
	On or after 181^st day
	$5,000

Section 5.H
Additional fee for the failure to file or file timely any required post-registration document	$50
Additional fee for the failure to file or file timely notice of SEC effectiveness for filings made on the third through tenth business day after SEC effectiveness	$100
Additional fee for the failure to file or file timely notice of SEC effectiveness for filings made after the tenth day after SEC effectiveness	11^th-30^th day
	$200
	31^st-60^th day
	$400
	61^st-90^th day
	$600
	91^st-120^th day
	$800
	121^st-150^th day
	$1,000
	151^st-180^th day
	$1,200
	On or after the 181^st day
	$2,500

Section 6.A
Filing or Renewal Fee	$1,000
Amendment Filing Fee for Additional Series, Types or Classes	$100

Section 6.B
Examination Fee	$300
Filing or Renewal Fee	$1,000
Amendment Examination Fee	$50
Amendment Filing Fee for Additional Series, Types or Classes	$100
Transaction Charge	$10
Annual Fee	¹/₃₀^thof 1% of average of Quarterly computation of aggregate principal amount of securities on deposit

Section 6.F
Additional fee for renewal of securities 9 business days or less but prior to expiration of registration or renewal	$200
Additional fee after expiration of registration or renewal (not to exceed one year after the date of expiration of the most recent registration or renewal)	1^st-30^th days
	$500
	31^st-60^th day
	$1,000
	61^st-90^th day
	$1,500
	91^st-120^th day
	$2,000
	121^st-150^th day
	$2,500
	151^st-180^th day
	$3,000
	On or after the 181^st day
	$5,000

Section 6.L
Additional fee for the failure to file or file timely any required post-registration document	$50
Additional fee for the failure to file or file timely notice of SEC effectiveness for filings made on the third through tenth business day after SEC effectiveness	$100
Additional fee for the failure to file or file timely notice of SEC effectiveness for filings made after the tenth day after SEC effectiveness	11^th-30^th day
	$200
	31^st-60^th day
	$400
	61^st-90^th day
	$600
	91^st-120^th day
	$800
	121^st-150^th day
	$1,000
	151^st-180^th day
	$1,200
	On or after the 181^st day
	$2,500

Section 7.A
Filing or Renewal Fee	$1,000 plus $100 for each series, class or portfolio

Section 7.B
Examination Fee	$300
Filing or Renewal Fee	$1,000 plus $100 for each series, class or portfolio
Amendment Examination Fee	$50

Section 7.D
Amendatory statement	$100

Section 7.G
Additional fee for renewal of securities 9 business days or less but prior to expiration of registration or renewal	$200
Additional fee after expiration of registration or renewal (not to exceed one year after the date of expiration of the most recent registration or renewal)	1^st-30^th day
	$500
	31^st-60^th day
	$1,000
	61^st-90^th day
	$1,500
	91^st-120^th day
	$2,000
	121^st-150^th day
	$2,500
	151^st-180^th day
	$3,000
	On or after the 181^st day
	$5,000

Section 7.J
Additional fee for the failure to file or file timely any required post-registration document	$50
Additional fee for the failure to file or file timely notice of SEC effectiveness for filings made on the third through tenth business day after SEC effectiveness	$100
Additional fee for the failure to file or file timely notice of SEC effectiveness for filings made after the tenth day after SEC effectiveness	11^th-30^th day
	$200
	31^st-60^th day
	$400
	61^st-90^th day
	$600
	91^st-120^th day
	$800
	121^st-150^th day
	$1,000
	151^st-180^th day
	$1,200
	On or after the 181^st day
	$2,500

Section 8
Dealer Filing or Renewal Fee	$300 plus $20 for each branch office in this State

Dealer fee to report a change in its form of organization	$300

Investment Adviser Filing or Renewal Fee and Federal Covered Investment Adviser notification filing fee or renewal fee	$200 plus $20 for each branch office in this State

Federal Covered Investment Adviser fee and Investment Adviser fee to report a change in its form of organization	$200

Salesperson Filing or Renewal Fee	$75 ($40 filing or renewal fee and $35 Securities Audit and Enforcement Fund fee; all fees may be paid by a single check)

Salesperson Transfer Fee	$75 ($40 transfer fee and $35 Securities Audit and Enforcement Fund fee; all fees may be paid by a single check)

Federal Covered Investment Adviser Representative and Investment Adviser Representative	$75

Federal Covered Investment Adviser Representative and Investment Adviser Representative transfer fee	$75

Section 8.J

Additional fee for the failure to file or file timely any required statement of financial condition or financial statement	$250
Additional fee for the second and subsequent failure to file or file timely any required statement of financial condition or financial statement	$500
Additional fee for the failure to file or file timely any required post-registration or post-notification document (other than statement of financial condition or financial statement)	$50
Additional fee for the second and subsequent failure to file or file timely any required post-registration or post-notification document other than statement of financial condition or financial statement)	$250

Section 10

Service of Process (when served upon the Secretary)	$10

Sections 15.B and 15.C
Certificate	$10
Certified Copy of Document	$10 plus
Each Page Certified	$.50

Section 15a
Non-binding statement	$75

Duplication of documents each page duplicated	$.50

Additional fee for payment of fee returned to the Securities Department due to insufficient funds or for a similar reason	$50

* ¹/₁₀^th of 1% of the aggregate dollar amount reported therein, but not less than the specified minimum nor more than the specified maximum.

** ¹/₂₀^th of 1% of the maximum aggregate price, as defined in Section 130.251 of this Part, but not less than the specified minimum nor more than the specified maximum.

b) All payments of fees, except for payment of administrative fines under Section 11.E of the Act as set forth below, shall be made by check, money order, certified check, bank cashier's check, bank money order or indicia of forms of electronic transfer of funds payable to the "Secretary of State". No third party check or money order endorsed over to the Secretary of State ("Secretary") shall be accepted as payment of any fee. All payments for administrative fines under Section 11.E of the Act in excess of $500, except for a person registered under Section 5, 6, 7 or 8 of the Act, shall be made by money order, certified check or bank cashier's check.

c) Any person whose payment of fees is returned to the Securities Department due to insufficient funds or for a similar reason shall pay to the Secretary the amount of fee owed plus an additional fee a set forth in this Section for each payment returned. This fee shall include the fee required by 5 ILCS 290/10.

d) The Secretary shall require any person to make payment of fees in the form of a United States postal money order, certified check, bank cashier's check or bank money order if any previous payment of fees has been returned to the Securities Department due to insufficient funds or for a similar reason.

e) All payment of fees under the Act for which a calculation of the fee is required shall be deemed to be filed and the fees paid upon receipt by the Securities Department, provided that the fee paid is within $5 of the actual amount due.

Ill. Admin. Code tit. 14, § 130.110

Amended at 21 Ill. Reg. 15892, effective December 1, 1997