Securities

Fee Schedule

The Fee Schedule as of December 23, 2013 (3 AAC 08.015)
(These fees are not refundable.)

Initial or Annual Renewal Registration or Notice Filing

All filings and fees are through CRD
  • Broker-dealer: $250
  • Agent of broker-dealer: $75
Canadian broker-dealer and agent filings are made
and paid by check to our Juneau offices
  • Canadian broker-dealer: $250
  • Agent of a Canadian broker-dealer:  $75
Agent of Issuer filings are made and paid by check to our Juneau offices
  • Agent of Issuer: $75
All Investment Adviser filings and fees are through IARD
  • Investment Adviser Representative (IAR): $75
  • State Investment Adviser: $250
  • Federal Covered Adviser: $250

Registration or Notice of Successor

  • Registered broker-dealer: $125
  • Registered state investment adviser: $125
  • Noticed federal covered adviser: $125

Transfer

All filings and fees are through CRD
  • Broker-dealer transfer of agent’s unexpired registration: $75
  • State or federal covered adviser transfer of unexpired IAR’s registration: $75

Securities Offering

(3 AAC 08.920)

  • Viatical Settlement filings: $250 annually per registration.
  • Mutual fund notice filings: $600 for one year or $1,100 for two years, if an automatic one-year extension request is filed with the initial notice filing.
  • Reg. D "506" notice filing: $600 for one year or $1,100 for two years, if an automatic one-year extension request is filed with the initial notice filing.
  • Registration of securities: $100 filing fee plus registration fees of $500 for one year or $1,000 for two years, if an automatic one year extension request is filed with the initial registration application.

Other Securities Filing Types

  • Exemption notice under AS 45.55.900: $50
  • For expedited review of exemption notice: $125
  • "No Action Letter" request: $100
  • Changes, additions, or deletions under 3 AAC 08.920(a)(8):  $20
  • Solicitations of Interest under 3 AAC 08.087:  $50

Forms:

Click Here for the Securities Forms web page

All checks must made payable to the State of Alaska and submitted to:

Securities Administrator
Alaska Division of Banking and Securities
P.O. Box 110807
Juneau, AK 99811-0807
(907) 465-2521

If making payment by Credit Card, click here for Credit Card Payment Form
Credit Card Payments are accepted by US Mail or FAX only.