Issue Date:
Revised Date: 2019-09-01

Legal Cites

Object Type

Cash — Business Regulation

Origin Date

1935 by the 44th Leg.

Description

A fee up to $100 for filing the following:

  • An original application for dealer or investment adviser registration or filing for a federal covered investment adviser.
  • A renewal application for dealer or investment adviser registration or renewal for a federal covered investment adviser.
  • An original application for each agent, officer, or investment adviser representative or filing for each representative of a federal covered investment adviser.
  • A renewal application for each agent, officer, or investment adviser representative or renewal for each representative of a federal covered investment adviser.

$25 fee to amend the registration certificate of a dealer, or agent, investment adviser or investment adviser representative, or issue duplicate certificates. $35 fee for filing a request to take the Texas Securities Law Examination.

Due Date

At time of application. Renewals vary by type of security.

Collecting Agencies

Note

Amended by H.B. 1867, S.B. 106, 68th Leg., R.S.;

H.B. 875, 70th Leg., R.S. included temporary fee increase for fiscal 1988 and 1989 of $110 expired (See Revenue Code 3186R);

H.B. 11, 72nd Leg., 1st C.S. added $200 increase in license and renewal fees allocated, 25% to Foundation School Account (0193) and 75% to General Revenue. Dedication abolished August 31, 1995 per § 403.094 Government Code.

Rates increased by H.B. 1840, 78th Leg., R.S.

H.B. 7, 84th Leg., R.S. repealed $200 fee increase created by H.B. 11, 72nd Leg., 1st C.S.

Amended by H.B. 1535, 86th Leg., R.S.

USAS Values

Appropriation Year 21
USAS Title PROFESSIONAL FEES
Receipt Category 03 – Business Regulation
Receipt Type 10 – Business/Professional Fees
Object Group 30 – Revenues
USAS Status A
Rev/Exp Category 01 – LICENSES, FEES, FINES, AND PENALTIES