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Form a Business

Fees for initial or renewal registration or notice filing

KRS 292.335
in effect
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292.335. Fees for initial or renewal registration or notice filing (1) The fee for initial or renewal registration shall be, for: (a) A broker-dealer, one hundred twenty dollars ($120); (b) An investment adviser, one hundred dollars ($100); (c) An agent, fifty dollars ($50); (d) An investment adviser representative, fifty dollars ($50); and (e) The transfer of an agent or investment adviser representative, fifty dollars ($50). (2) The fee for initial or renewal notice filings shall be one hundred dollars ($100) for a covered adviser. (3) The fees required by subsections (1) and (2) of this section shall not be refundable. Effective: July 15, 2010 History: Created 2010 Ky. Acts ch. 82, sec. 7, effective July 15, 2010.
Source: Kentucky Legislative Research Commission (legislature.ky.gov)URL: https://apps.legislature.ky.gov/law/statutes/statute.aspx?id=15545Fetched: 10/20/2026

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