6 Del. Admin. Code § 200-D-404
Current through Reigster Vol. 28, No. 6, December 1, 2024
(a) Fees for registering securities by coordination or by qualification shall be one half of one percent of the maximum aggregate offering price of securities to be offered in Delaware during the initial registration period, but not less than $200.00 or more than $1,000.00.(b) The amount of securities to be registered in Delaware shall be specifically stated in the Form U-1. However, if the applicant pays the maximum filing fee of $1,000.00, the amount to be registered in Delaware may be stated in the Form U-1 as "indefinite" or "unlimited."(c) The fee for notice filings for covered securities under Section 18(b)(4)(E) of the Securities Act of 1933 pursuant to Section 73-208(b) of the Act and Rule 406 shall be one half of one percent of the maximum aggregate offering price of securities to be offered in Delaware during the initial registration period, but not less than $200.00 or more than $1,000.00.(d) The fee for notice filings for covered securities under Section 18(b)(3) of the Securities Act of 1933 pursuant to Section 73-208(c) of the Act shall be one half of one percent of the maximum aggregate offering price of securities to be offered in Delaware during the initial registration period, but not less than $200.00 or more than $1,000.00.(e) The fee for notice filings for offerings pursuant to the Intrastate Crowdfunding exemption in Section 73-207(b)(15) and Rule 408 shall be $300.00.(f) All filing fees are due at the time of the initial application. No application fee is refundable even though an application may be withdrawn or denied.(g) Any filing fee required by these Rules that is not paid when due shall be doubled, unless the Director waives the late payment, but in no case shall the total fee be more than the relevant statutory maximum amount.6 Del. Admin. Code § 200-D-404
18 DE Reg. 394 (11/1/2014)
20 DE Reg. 728 (3/1/2017) (Final)