Illinois Administrative Code › Title 14 - COMMERCE › Part 130 - REGULATIONS UNDER ILLINOIS SECURITIES LAW OF 1953 › Subpart A - RULES OF GENERAL APPLICATION › Section 130.110 - Payment of Fees

Current through Register Vol. 48, No. 28, July 12, 2024
a) Fees under
				the Act are as follows:
Section 2a (Federal covered transactions or
							 securities)
Issuers of securities pursuant to Regulation D, Rule
							 506 of the Federal Act
$100
Issuers of shelf offerings
$500-$6,000**
Series issuers
$500-$3,000**
Issuers of face amount certificate contracts
$1,000
Issuers of open-end investment fund shares
$1,000 plus $100 for each series, class or
							 portfolio
General filing fee for securities not covered
							 above
$500-$2,500**
Section 4.D
Filing Fee
$100
Section 4.F.2
Application Filing Fee
$1,000
Section 4.G
Report of Sale Filing Fee
$100
Late filing fee
$200 ($100 filing fee plus $100 late fee)
Section 4.P
Offering Sheet Examination Fee
$300
Report of Sale Filing Fee
$10-$100*
Section 5.A
General Filing or Renewal Fee
$500-$2,500**
Filing or Renewal Fee for Shelf Offerings
$500-$6,000**
Filing or Renewal Fee for Series Issuers
$500-$3,000**
Section 5.B
If registered pursuant to the Federal 1933
							 Act:
General Examination Fee
$300
General Filing Fee
$500-$2,500**
Filing or Renewal Fee for Shelf Offerings
$500-$6,000**
Filing or Renewal Fee for Series Issuers
$500-$3,000**
If not registered pursuant to the Federal 1933
							 Act:
Examination Fee
$150
Filing Fee
$250
Amendment Examination Fee
$25
Section 5.C
Additional Fee
$500
Section 5.E
Additional fee for renewal of securities 9 business
							 days or less but prior to expiration of registration or renewal
$200
Additional fee after expiration of registration or
							 renewal (not to exceed one year after the date of expiration of the most recent
							 registration or renewal)
1st-30th
							 day
$500
31st-60th
							 day
$1,000
61st-90th
							 day
$1,500
91st-120th
							 day
$2,000
121st-150th
							 day
$2,500
151st-180th
							 day
$3,000
On or after 181st
							 day
$5,000
Section 5.H
Additional fee for the failure to file or file timely
							 any required post-registration document
$50
Additional fee for the failure to file or file timely
							 notice of SEC effectiveness for filings made on the third through tenth
							 business day after SEC effectiveness
$100
Additional fee for the failure to file or file timely
							 notice of SEC effectiveness for filings made after the tenth day after SEC
							 effectiveness
11th-30th
							 day
$200
31st-60th
							 day
$400
61st-90th
							 day
$600
91st-120th
							 day
$800
121st-150th
							 day
$1,000
151st-180th
							 day
$1,200
On or after the
181st day
$2,500
Section 6.A
Filing or Renewal Fee
$1,000
Amendment Filing Fee for Additional Series, Types or
							 Classes
$100
Section 6.B
Examination Fee
$300
Filing or Renewal Fee
$1,000
Amendment Examination Fee
$50
Amendment Filing Fee for Additional Series, Types or
							 Classes
$100
Transaction Charge
$10
Annual Fee
1/30thof
							 1% of average of Quarterly computation of aggregate principal amount of
							 securities on deposit
Section 6.F
Additional fee for renewal of securities 9 business
							 days or less but prior to expiration of registration or renewal
$200
Additional fee after expiration of registration or
							 renewal (not to exceed one year after the date of expiration of the most recent
							 registration or renewal)
1st-30th
							 days
$500
31st-60th
							 day
$1,000
61st-90th
							 day
$1,500
91st-120th
							 day
$2,000
121st-150th
							 day
$2,500
151st-180th
							 day
$3,000
On or after the
181st day
$5,000
Section 6.L
Additional fee for the failure to file or file timely
							 any required post-registration document
$50
Additional fee for the failure to file or file timely
							 notice of SEC effectiveness for filings made on the third through tenth
							 business day after SEC effectiveness
$100
Additional fee for the failure to file or file timely
							 notice of SEC effectiveness for filings made after the tenth day after SEC
							 effectiveness
11th-30th
							 day
$200
31st-60th
							 day
$400
61st-90th
							 day
$600
91st-120th
							 day
$800
121st-150th
							 day
$1,000
151st-180th
							 day
$1,200
On or after the
181st day
$2,500
Section 7.A
Filing or Renewal Fee
$1,000 plus $100 for each series, class or
							 portfolio
Section 7.B
Examination Fee
$300
Filing or Renewal Fee
$1,000 plus $100 for each series, class or
							 portfolio
Amendment Examination Fee
$50
Section 7.D
Amendatory statement
$100
Section 7.G
Additional fee for renewal of securities 9 business
							 days or less but prior to expiration of registration or renewal
$200
Additional fee after expiration of registration or
							 renewal (not to exceed one year after the date of expiration of the most recent
							 registration or renewal)
1st-30th
							 day
$500
31st-60th
							 day
$1,000
61st-90th
							 day
$1,500
91st-120th
							 day
$2,000
121st-150th
							 day
$2,500
151st-180th
							 day
$3,000
On or after the
181st day
$5,000
Section 7.J
Additional fee for the failure to file or file timely
							 any required post-registration document
$50
Additional fee for the failure to file or file timely
							 notice of SEC effectiveness for filings made on the third through tenth
							 business day after SEC effectiveness
$100
Additional fee for the failure to file or file timely
							 notice of SEC effectiveness for filings made after the tenth day after SEC
							 effectiveness
11th-30th
							 day
$200
31st-60th
							 day
$400
61st-90th
							 day
$600
91st-120th
							 day
$800
121st-150th
							 day
$1,000
151st-180th
							 day
$1,200
On or after the 181st
							 day
$2,500
Section 8
Dealer Filing or Renewal Fee
$300 plus $20 for each branch office in this
							 State
Dealer fee to report a change in its form of
							 organization
$300
Investment Adviser Filing or Renewal Fee and Federal
							 Covered Investment Adviser notification filing fee or renewal fee
$200 plus $20 for each branch office in this
							 State
Federal Covered Investment Adviser fee and Investment
							 Adviser fee to report a change in its form of organization
$200
Salesperson Filing or Renewal Fee
$75 ($40 filing or renewal fee and $35 Securities
							 Audit and Enforcement Fund fee; all fees may be paid by a single check)
Salesperson Transfer Fee
$75 ($40 transfer fee and $35 Securities Audit and
							 Enforcement Fund fee; all fees may be paid by a single check)
Federal Covered Investment Adviser Representative and
							 Investment Adviser Representative
$75
Federal Covered Investment Adviser Representative and
							 Investment Adviser Representative transfer fee
$75
Section 8.J
Additional fee for the failure to file or file timely
							 any required statement of financial condition or financial statement
$250
Additional fee for the second and subsequent failure
							 to file or file timely any required statement of financial condition or
							 financial statement
$500
Additional fee for the failure to file or file timely
							 any required post-registration or post-notification document (other than
							 statement of financial condition or financial statement)
$50
Additional fee for the second and subsequent failure
							 to file or file timely any required post-registration or post-notification
							 document other than statement of financial condition or financial
							 statement)
$250
Section 10
Service of Process (when served upon the
							 Secretary)
$10
Sections 15.B and 15.C
Certificate
$10
Certified Copy of Document
$10 plus
Each Page Certified
$.50
Section 15a
Non-binding statement
$75
Duplication of documents each page duplicated
$.50
Additional fee for payment of fee returned to the
							 Securities Department due to insufficient funds or for a similar reason
$50
* 
				  1/10th
				  of 1% of the aggregate dollar amount reported therein, but not less than the
				  specified minimum nor more than the specified maximum.
** 
				  1/20th
				  of 1% of the maximum aggregate price, as defined in Section
				  130.251
				  of this Part, but not less than the specified minimum nor more than the
				  specified maximum.
b) All
				payments of fees, except for payment of administrative fines under Section 11.E
				of the Act as set forth below, shall be made by check, money order, certified
				check, bank cashier's check, bank money order or indicia of forms of electronic
				transfer of funds payable to the "Secretary of State". No third party check or
				money order endorsed over to the Secretary of State ("Secretary") shall be
				accepted as payment of any fee. All payments for administrative fines under
				Section 11.E of the Act in excess of $500, except for a person registered under
				Section 5, 6, 7 or 8 of the Act, shall be made by money order, certified check
				or bank cashier's check.
c) Any
				person whose payment of fees is returned to the Securities Department due to
				insufficient funds or for a similar reason shall pay to the Secretary the
				amount of fee owed plus an additional fee a set forth in this Section for each
				payment returned. This fee shall include the fee required by 5 ILCS
				290/10.
d) The Secretary shall
				require any person to make payment of fees in the form of a United States
				postal money order, certified check, bank cashier's check or bank money order
				if any previous payment of fees has been returned to the Securities Department
				due to insufficient funds or for a similar reason.
e) All payment of fees under the Act for
				which a calculation of the fee is required shall be deemed to be filed and the
				fees paid upon receipt by the Securities Department, provided that the fee paid
				is within $5 of the actual amount due.