Fees
Payment Information
Corporate Finance Filings
All filings are to be made through the Corporate Finance Filing Portal, EFDNASAA.org, or BlueExpress
License Filings
**Paid electronically through FINRA's financial system, E-Bill; Link to E-Bill user guide
*** Make check payable to: Utah Division of Securities
Corporate Finance Filings
Securities Registration
*Registration by Coordination
$300.00
*Registration by Qualification
$300.00
Transactional Exemptions
*Transactional Exemptions Requiring a Filing
$60.00
Notice Filings
Pursuant to Utah Code Ann. §61-1-25(1), a document is deemed "filed" only when it is received by the Division
Investment Companies:
MUTUAL FUNDS
*Email PDF Filing to tlopez@utah.gov OR
BlueExpress Filings - system payment directions
$600.00
UIT- UNIT INVESTMENT TRUSTS
*Email PDF Filing to tlopez@utah.gov OR
BlueExpress filing - system payment directions OR
EFDNASAA.org / UIT Filing - system payment
$600.00
Form D, Rule 506 – mandated filing through EFDNASAA.org
Timely Filing - Filed through the EFDNASAA.org System within 15 days of the date of first sale to a Utah investor unless EDGAR aggregate amount is $500,000 or less, then no fee is required.
$100.00
Form D, Rule 506 – mandated filing through EFDNASAA.org
Late Filing - Filed through the EFDNASAA.org System more than 15 days after the date of first sale to a Utah investor.
$500 total
*Reg A Tier 2 - Email filing to tlopez@utah.gov
Timely Filing - Received within 15 days of the date of first sale to a Utah investor.
$100
Late Filing - Received more than 15 days after the date of first sale to a Utah investor
$500 total
*Crowdfunding - Email filing to tlopez@utah.gov
Timely Filing - Received within 15 days of the date of first sale to a Utah investor.
$100
Late Filing- Received more than 15 days after the date of first sale to a Utah investor.
$500 total
Requests for Division Action
*No-action Opinions-Email filing to tlopez@utah.gov
$120.00
*Interpretive Opinions-Email filing to tlopez@utah.gov
$120.00
*Fairness Hearings-Email filing to tlopez@utah.gov
$1,500.00
Petition to Remove Records of Administrative Disciplinary Action-
Contact Division for information
$200.00
License Filings
**Agent (new and renewal)
$40.00
**Broker/Dealer (new and renewal)
$130.00
**Investment Adviser (new and renewal)
$40.00
**Investment Adviser Representative (new and renewal)
$30.00
**Federal Covered Advisers
$70.00
***Issuer-Agents
$40.00
***List of Licensees (previously compiled data)
Request for ad hoc reports can cost significantly more.
$25.00
Money Management Act
***Certified Dealer Application (new and renewal)
$500.00
***Certified Investment Adviser Application (new and renewal)
$500.00
