N.M. Admin. Code § 12.11.1.11

Current through Register Vol. 35, No. 21, November 5, 2024

Section 12.11.1.11 - FEES

The fees set forth in this section do not include fees set by statute or as determined elsewhere in these rules; are expressly prescribed for the expenses of various matters arising pursuant to authority under the New Mexico Uniform Securities Act; are chargeable to the applicant or registrant; and unless otherwise provided, are payable at the time an application or notice is filed. None of the fees paid are refundable.

A. Administrative fees.

(1) The fee for processing a name change in registration statements on file is $50.00.

(2) The fee for processing a name change for a registered broker-dealer or a registered investment adviser is $50.00.

(3) The fee for an interpretative opinion, pursuant to Section 58-13C-605 D, or for a no action letter is $300.00.

B. Inspection fees. Broker-dealers and investment advisers registered or required to be registered shall be charged a fee of $100.00 per examiner per day plus actual costs of transportation and lodging where applicable for examinations conducted pursuant to Section 58-13C-411 D.

C. Successor firm fees.

(1) An application for registration of a successor firm pursuant to Section 58-13C-407 A shall be accompanied by a fee of $300.00.

(2) An application for registration of successor firms pursuant to Section 58-13C-407 A shall be accompanied by an administrative fee of $50.00 for each representative's registration which must be transferred to the successor firm.

N.M. Admin. Code § 12.11.1.11

12.11.1.11 NMAC - Rp, 12.11.1.11 NMAC, 1-1-2010; A, 7-1-2010