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Are there fees for filing as an investment advisor with a state securities regulator?


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Each state securities regulator has filing fees for investment advisor registration, which are collected at the time that the initial registration application is made. The fees vary by state securities regulator. An investment advisor which is dually registered with state securities regulators and the SEC will pay multiple fees (state investment advisor registrations and notice filings) in approximately early November when it is time for 2012 renewals. The IARD system fees for state registered investment advisors and investment adviser representatives have been waived for 2011. It is not yet know if state registered investment advisors and investment adviser representatives will be charged with 2012 renewals.

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