Securities Registration, Notice Filing and Exemption Filing Fees
Under the Connecticut Uniform Securities Act
Note: All fees are nonrefundable.
Make checks payable to "Treasurer, State of Connecticut."
| Registration by Coordination | |
| 1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut. If a registration statement covers multiple classes or series, a fee is due for each one. Securities offered for sale as a unit are considered to cover a single class. |
$300
minimum;
$1,500 maximum
|
| Registration by Qualification (including SCOR and Regulation A filings) |
|
| 1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut. If a registration statement covers multiple classes or series, a fee is due for each one. Securities offered for sale as a unit are considered to cover a single class. |
$300 minimum;
$1,500 maximum
|
| Post-Sale Registration of Securities by Qualification | |
| Standard registration fee plus $50 | $50 |
| Investment Company Filings (face-amount certificate companies, unit investment trusts, open-end management companies) |
|
| Initial notice filing fee (per series or portfolio) | $500 |
| Annual renewal notice filing fee (per series or portolio) | $500 |
|
Investment Company Filings
(closed-end management companies)
|
|
| 1/10 of one percent of the maximum aggregate offering price of securities to be offered in Connecticut. |
$300 minimum;
$1,500 maximum
|
| Private Offerings | |
| Rule 504 (Regulation D) exemptive filings (per offering) | $150 |
| Rule 505 (Regulation D) - Rule 505 was repealed by the SEC effective May 22, 2017 | N/A |
| Rule 506 (Regulation D) notice filings (per offering) | $150 |
| Section 4(a)(2) exemptive filings (per offering) | $150 |
| Section 4(a)(5) exemptive filings (per offering) | $150 |
| Amendments (all categories) | |
| No charge | $0 |