South Carolina § 35-1-410 - Examination and filing fee requirements.
Full text of South Carolina South Carolina Code of Laws § 35-1-410 — Examination and filing fee requirements., with citation guidance and answers to common questions.
§ 35-1-410. Examination and filing fee requirements.
(a) The Securities Commissioner shall establish fees by rule or order for:
(1) an initial filing of an application as a broker-dealer and renewal of an application by a broker-dealer for registration;
(2) an application for registration as an agent and renewal of registration as an agent;
(3) an application for registration as an investment adviser and renewal of registration as an investment adviser;
(4) an application for registration as an investment adviser representative, a renewal of registration as an investment adviser representative, and a change of registration as an investment adviser representative; and
(5) an initial fee and annual notice fee for a federal covered investment adviser required to file a notice under Section 35-1-405.
(b) 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.
(c) When an application or other filing fee is denied or withdrawn, the filing fee shall not be refunded, except upon order by the Securities Commissioner.
(d) A rule adopted or order issued under this chapter may require that an examination, including an examination developed or approved by an organization of securities regulators, be successfully completed by a class of individuals or all individuals. An order issued under this chapter may waive, in whole or in part, an examination as to an individual and a rule adopted under this chapter may waive, in whole or in part, an examination as to a class of individuals if the Securities Commissioner determines that the examination is not necessary or appropriate in the public interest and for the protection of investors.
HISTORY: 2005 Act No. 110, SECTION 1, eff January 1, 2006.
Source: official South Carolina text · Last verified 2026-08-27
Frequently Asked Questions About South Carolina § 35-1-410
What does South Carolina Code of Laws § 35-1-410 cover?
Section 35-1-410 ("Examination and filing fee requirements.") is part of the South Carolina Code of Laws, the codified statutory law of South Carolina. It sets out the legal rule or procedure described in the text above. Statutes are amended regularly, so always verify against the official source.
How do I cite South Carolina § 35-1-410?
A common citation format is "South Carolina Code of Laws § 35-1-410" (South Carolina). Legal writing may require the code abbreviation, section number, and year or edition. Match the style required by your court, professor, or publisher.
Is this the official text of South Carolina law?
No. This page is for research and education and may not include the most recent amendments. For official current law, check the South Carolina official source linked on this page or consult a licensed South Carolina attorney.
How does South Carolina § 35-1-410 apply to my situation?
Statutes are interpreted in context, and application depends on your specific facts. Only a licensed attorney in South Carolina can advise on how this section applies to you. Contact your state or local bar association for a referral.
Sources & Verification
Not legal advice. Verify against the official source and consult a licensed attorney in South Carolina.