Texas Comptroller Manual of Accounts - Fiscal 2022
Revenue Object 3175 – Professional Fees – Securities Act

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.

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

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H.B. 7, 84th Leg., R.S. repealed $200 fee increase created by H.B. 11, 72nd Leg., 1st C.S.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

Codified from Vernon's Civil Statutes art. 581-35 B(8) and 581-42 to Government Code Ch. 4006 by H.B. 4171, 86th Leg., R.S., effective 01/01/2022.