Fee Schedule

DESCRIPTION

STATUTE SECTION

FEES

Copy Fee (per paper page)

11-51-707

$0.25

Electronic Copies of Lists (per request)

11-51-707

$ (Actual Cost, $75--$250)

Registration by Coordination

11-51-303

$200

Registration by Qualification & Form U-7

11-51-304(1-5)

$100

Registration by Limited Qualification (RL)

11-51-304(6)

$50

Registration by Qualification of Viatical Investments

11-51-304(1-5)

$100

Regulation A Exemptions

11-51-308(1)(p)

$75

Regulation D Exemptions

11-51-308(1)(p)

$75

Mutual Funds (initials/renewals)

11-51-307(1)(k)

$325 (as of 12/1/2011)

Unit Investment Trusts (initials/renewals)

11-51-307(1)(k)

$180 (as of 12/1/2011)

Colorado Bond Registration

11-59-110(6,8)

$500

Colorado Bond Exemption

11-59-110(2,3)

$100

Local Government Trust Registration

11-51-9 05

$1,000 - $5,000

Local Government Trust Annual

11-51-906

$400 - $2,000

Opinion or No-Action Request

11-51-705

$100

Colorado/FINRA Broker Dealer

11-51-401

Colorado/FINRA Sales Representative

11-51-401

Colorado Broker Dealer

11-51-401

Colorado Sales Representative

11-51-401

Mortgage Broker Dealer

11-51-401

Mortgage Sales Representative

11-51-401

SEC Investment Advisor - Notice Filed

11-51-401

SEC Investment Advisor Representative

11-51-401

Investment Advisor - State registered

11-51-401

Investment Advisor Rep- State registered

11-51-401