{"data":{"id":"us-me/32-m.r.s.-16410","jurisdiction":"us-me","citation":"32 M.R.S. §16410","heading":"Filing fees","body":"1.  Fees established by administrator.  The administrator shall establish by rule fees in accordance with the following:\nA.  A fee not to exceed $500 for an application for licensing as a broker-dealer and renewal of licensing as a broker-dealer.  If the filing results in a denial or withdrawal, the administrator shall retain the fee;\nB.  A fee not to exceed $200 for an application for licensing as an agent and renewal of licensing as an agent.  If the filing results in a denial or withdrawal, the administrator shall retain the fee;\nC.  A fee not to exceed $500 for an application for licensing as an investment adviser and renewal of licensing as an investment adviser.  If the filing results in a denial or withdrawal, the administrator shall retain the fee;\nD.  A fee not to exceed $200 for an application for licensing as an investment adviser representative and renewal of licensing as an investment adviser representative.  If the filing results in a denial or withdrawal, the administrator shall retain the fee;\nE.  An amount not to exceed $500 for an initial fee and annual notice fee for a federal covered investment adviser required to file a notice under section 16405.  If the filing results in a withdrawal, the administrator shall retain the fee; and\nF.  An amount not to exceed $200 for an initial fee and annual renewal fee for each branch office in this State.  If the filing results in a withdrawal, the administrator shall retain the fee.  For purposes of this paragraph, \"branch office\" means any office of a broker-dealer or investment adviser located in this State, other than the principal place of business of the broker-dealer or investment adviser.  Only one branch office fee is due if an office is a branch office of both a broker-dealer and an investment adviser affiliated by direct or indirect common control.\n2.  Payment.  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.\n3.  Active duty renewal fee waiver.  The administrator may waive the renewal fee under subsection 1, paragraph B or D for a licensed agent or investment adviser representative who is a member of the National Guard or the Reserves of the United States Armed Forces under an order to active duty for a period of more than 30 days.\n4.  Rulemaking.  Rules adopted pursuant to this section are routine technical rules as defined in Title 5, chapter 375, subchapter 2‑A.","path":["TITLE 32: PROFESSIONS AND OCCUPATIONS","CHAPTER 135: MAINE UNIFORM SECURITIES ACT","SUBCHAPTER 4: BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES AND FEDERAL COVERED INVESTMENT ADVISERS"],"source_url":"https://legislature.maine.gov/statutes/32/title32sec16410.html","current_through":"October 1, 2025","vintage":"","retrieved_at":"2026-09-04T15:12:37Z","sha256":"114b92ae0daac8ff42fa605bb172363d86bfcdd0807545d2c13be0a1fec8e744","source_id":"us-me","stale":false,"prev":"us-me/32-m.r.s.-16409","next":"us-me/32-m.r.s.-16411"},"notice":"GroundRules: Original legal text. Not legal advice."}