{"data":{"id":"us-ia/iowa-code-502.410","jurisdiction":"us-ia","citation":"Iowa Code § 502.410","heading":"Filing fees.","body":"1. A person shall pay a fee of two hundred dollars when initially filing an application for registration as a broker-dealer and a fee of two hundred dollars when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the administrator shall retain the fee.\n2. The fee for an individual is forty dollars when filing an application for registration as an agent, a fee of forty dollars when filing a renewal of registration as an agent, and a fee of forty dollars when filing for a change of registration as an agent. Of each forty-dollar fee collected, ten dollars is appropriated to the securities investor education and financial literacy training fund established under section 502.601, subsection 5. If the filing results in a denial or withdrawal, the administrator shall retain the fee.\n3. A person shall pay a fee of one hundred dollars when filing an application for registration as an investment adviser and a fee of one hundred dollars when filing a renewal of registration as an investment adviser. If the filing results in a denial or withdrawal, the administrator shall retain the fee.\n4. a. The fee for an individual is thirty dollars when filing an application for registration as an investment adviser representative, a fee of thirty dollars when filing a renewal of registration as an investment adviser representative, and a fee of thirty dollars when filing a change of registration as an investment adviser representative. If the filing results in a denial or withdrawal, the administrator shall retain the fee.\nb. However, an investment adviser representative is not required to pay a filing fee if the investment adviser is a sole proprietorship or the substantial equivalent and the investment adviser representative is the same individual as the investment adviser.\n5. A federal covered investment adviser required to file a notice under section 502.405 shall pay an initial fee of one hundred dollars and an annual notice fee of one hundred dollars.\n6. A person required to pay a filing or notice fee under this section may transmit the fee through or to a designee as a rule or order provides under this chapter.\n7. Except as otherwise provided in subsection 2, fees collected under this section shall be deposited as provided in section 505.7.","path":["Title XII - BUSINESS ENTITIES (Ch. 486 - 504C)","Chapter 502 - UNIFORM SECURITIES ACT (BLUE SKY LAW)","Article 4 - BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS"],"source_url":"https://www.legis.iowa.gov/docs/code/2026/502.410.pdf","current_through":"Iowa Code 2026 edition","vintage":"","retrieved_at":"2026-09-14T19:40:12Z","sha256":"eabb6489c68057f1fdf4ab385a04e6c739df2102efd2433837cbeb8ab6532447","source_id":"us-ia","stale":false,"prev":"us-ia/iowa-code-502.409","next":"us-ia/iowa-code-502.411"},"notice":"GroundRules: Original legal text. Not legal advice."}