(Effective October 1, 2017)
Rule 506 (Form D) Notices
Plus $150 late fee if the Form D is not filed by the 15th day after the first sale in Maryland.
$100
$150
Notice Filings for Investment Companies
Renewal (renewal due within 60 days after fiscal year end for mutual funds and within 60 days of anniversary of effective date for unit investment trusts)
*If the filing is not made by the filing deadline, the filer loses the $500 credit for the upfront filing fee.
With Form NF $500 + Sales Fee
With a Form NF showing Sales Fee Calculation: 1/10 of 1% of the aggregate offering price of the shares sold in Maryland, with a $1,500 maximum fee, minus* the $500 paid at the beginning of the previous year.)
With Form NF but NOT showing Sales Fee Calculation: $1,800 minus* the $500 fee paid at the beginning of the previous year, plus $500 renewal fee for subsequent year. $2,300 total if filing is late.
Termination
With Form NF showing Sales Fee Calculation: 1/10 of 1% of the aggregate offering price of the shares sold in Maryland, with a $1,500 maximum fee, minus* the $500 fee paid at the beginning of the previous year.
With Form NF NOT showing Sales Fee Calculation: $1,800 minus* the $500 fee paid at the beginning of the previous year. $2,300 total if filing is late.
Note: For FINRA-member firms, these fees are collected through the CRD system. Agents cannot become registered without a registered broker-dealer. All broker-dealer and agent registrations expire on December 31 of each year and must be renewed on or before that date for the next year.
Investment Adviser Notice Filings, Registrations and Private Fund Adviser
Note: Fees are collected through the IARD System. All investment adviser and representative registrations and notice filings expire on December 31st of each year. Applications for renewal must be filed by the IARD renewal deadline each year.
Business Opportunities Filings
Cash is not accepted. With the exception of the noted areas above, checks should be made payable to: "Office of the Attorney General." Payment is non-refundable and must be included with the filing. Notice of improper payment is sent out immediately. Although filings and applications are processed even if improper payment was made no registration or exemption will be granted or notice filing accepted without receipt of the proper fee.