S.C. Code Regs. § § 13-602

Current through Register Vol. 48, No. 11, November 22, 2024

Section 13-602 - Prospectus, Offering Circular, Exemption and Exception Filing Fees

A. Filing fees to accompany prospectus or offering circular.

(1) A filing fee of fifty ($50.00) dollars shall accompany any Prospectus or Offering Circular amended subsequent to effectiveness of registration or filed for the purpose of maintaining registration or notice filing of the securities.

(2) A fee of one hundred ($100.00) dollars shall accompany a request for a review by the Securities Commissioner of any preliminary or definitive Prospectus or Offering Circular for the purpose of obtaining an opinion on the eligibility of the securities for registration.

B. Fees to accompany a request for confirmation of the availability of an exemption or exception.

(1) A fee of one hundred fifty ($150.00) dollars shall accompany the filing of a request for confirmation of the availability of an exemption under Section 35-1-201(7) of the South Carolina Uniform Securities Act of 2005, as amended.

(2) A fee of one hundred fifty ($150.00) dollars shall accompany the filing of a request for confirmation of the availability of an exemption under Section 35-1-201 or 35-1-202 (other than Section 35-1-201(7) ) or an exception under Section 35-1-102 of the South Carolina Uniform Securities Act of 2005, as amended.

S.C. Code Regs. § 13-602

Added by State Register Volume 30, Issue No. 6, eff June 23, 2006.