Total assets of licensee | Base fee | Plus, percent of assets |
---|---|---|
$0 to $1,500,000 | $3,500 | 0% |
$1,500,001 to $5,000,000 | 3,700 | .065% of the amount over $1,500,000 |
$5,000,001 to $10,000,000 | 6,000 | .02% of the amount over $5,000,000 |
$10,000,001 to $15,000,000 | 7,000 | .01% of the amount over $10,000,000 |
$15,000,001 to $25,000,000 | 7,700 | .015% of the amount over $15,000,000 |
$25,000,001 to $50,000,000 | 9,200 | .015% of the amount over $25,000,000 |
$50,000,001 to $60,000,000 | 13,000 | .01% of the amount over $50,000,000 |
$60,000,001 and above | 14,000 | 0% |
Examination fee discounts | Amount of discount—% of base examination fee | Examination fee additions | Amount of Addition—% of base examination fee |
---|---|---|---|
No prior violations | 15 | Partnership or limited liability company | 5 |
Responsiveness | 10 | Participating Security Licensee | 10 |
Records/files at multiple locations | 10 |