Fees

Payment Information

Corporate Finance Filings

All filings are to be made by email, or EFDNASAA.org, or BlueExpress
*ACH/Wire payment directly to the Division - email nnadams@utah.gov for instructions.
If there is no *, pay according to electronic filing system directions.

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 nnadams@utah.gov OR
BlueExpress Filings - system payment directions

$600.00

UIT- UNIT INVESTMENT TRUSTS
*Email PDF Filing to nnadams@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 nnadams@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 nnadams@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 nnadams@utah.gov

$120.00

*Interpretive Opinions-Email filing to nnadams@utah.gov

$120.00

*Fairness Hearings-Email filing to nnadams@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)

$60.00

**Broker/Dealer (new and renewal)

$200.00

**Investment Adviser (new and renewal)

$100.00

**Investment Adviser Representative (new and renewal)

$50.00

**Federal Covered Advisers

$100.00

***Issuer-Agents

$60.00

***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