1 Miss. Code. R. 14-1-4.01

Current through December 10, 2024
Rule 1-14-1-4.01 - Notice Filers
A. Notice Filings for Federal Covered Securities Under Section 18(b)(2)
1.Initial. Filers shall submit to the Division a nonrefundable initial filing fee of One Thousand Dollars ($1,000.00).
2.Renewal. Filers shall submit to the Division a nonrefundable renewal filing fee of Three Hundred Dollars ($300.00) annually.
3.Termination. Filers shall submit to the Division a nonrefundable termination filing fee of Fifty Dollars ($50.00).
B. Notice Filings for Federal Covered Securities
1.Initial. Filers shall submit to the Division a nonrefundable filing fee of Three Hundred Dollars ($300.00).
2.Late. If the filing fee is not submitted to the Division on or before the date prescribed by the Rules, the Division may impose a late filing fee of one percent (1%) of the amount sold in this state up to a maximum penalty of Five Thousand Dollars ($5,000.00).
3.Renewal. Filers shall submit to the Division a nonrefundable filing fee of Three Hundred Dollars ($300.00) annually.
4.Termination. Filers shall submit to the Division a nonrefundable termination filing fee of Fifty Dollars ($50.00).

1 Miss. Code. R. 14-1-4.01

Miss. Code Ann. §§ 75-71-310, -605 (2020).
Amended 6/3/2018
Amended 9/2/2019
Amended 10/16/2021
Amended 4/18/2022
Amended 1/29/2024
Amended 3/14/2024