The fees set forth in this section do not include fees set by statute or as determined elsewhere in these rules; are expressly prescribed for the expenses of various matters arising pursuant to authority under the New Mexico Uniform Securities Act; are chargeable to the applicant or registrant; and unless otherwise provided, are payable at the time an application or notice is filed. None of the fees paid are refundable.

1. A. Administrative fees.

   (1) The fee for processing a name change in registration statements on file is $50.00.

   (2) The fee for processing a name change for a registered broker-dealer or a registered investment adviser is $50.00.

   (3) The fee for an interpretative opinion, pursuant to Section 58-13C-605D, or for a no action letter is $300.00.

2. B. Inspection fees. Broker-dealers and investment advisers registered or required to be registered shall be charged a fee of $100.00 per examiner per day plus actual costs of transportation and lodging where applicable for examinations conducted pursuant to Section 58-13C-411D.

3. C. Successor firm fees.

   (1) An application for registration of a successor firm pursuant to Section 58-13C-407A shall be accompanied by a fee of $300.00.

   (2) An application for registration of successor firms pursuant to Section 58-13C-407A shall be accompanied by an administrative fee of $50.00 for each representative’s registration which must be transferred to the successor firm.

[12.11.1.11 NMAC - Rp, 12.11.1.11 NMAC, 1-1-2010; A, 7-1-2010]