(815 ILCS 5/11a) (from Ch. 121 1/2, par. 137.11a)
Sec. 11a. Fees.
(1) The Secretary of State shall by rule or regulation impose and shall collect reasonable fees necessary for the administration of this Act including, but not limited to, fees for the following purposes:
(a) filing an application pursuant to paragraph (2)
of subsection F of Section 4 of this Act;
(b) examining an application and report pursuant to
paragraph (2) of subsection F of Section 4 of this Act;
(c) filing a report pursuant to subsection G of
Section 4 of this Act, determined in accordance with paragraph (4) of subsection G of Section 4 of this Act;
(d) examining an offering sheet pursuant to
subsection P of Section 4 of this Act;
(e) filing a report pursuant to subsection P of
Section 4, determined in accordance with subsection P of Section 4 of this Act;
(f) examining an application to register securities
under subsection B of Section 5 of this Act;
(g) examining an amended or supplemental prospectus
filed pursuant to the undertaking required by sub-paragraph (i) of paragraph (2) of subsection B of Section 5 of this Act;
(h) registering or renewing registration of
securities under Section 5, determined in accordance with subsection C of Section 5 of this Act;
(i) registering securities in excess of the amount
initially registered, determined in accordance with paragraph (2) of subsection C of Section 5 of this Act;
(j) failure to file timely an application for renewal
under subsection E of Section 5 of this Act;
(k) failure to file timely any document or
information required under Section 5 of this Act;
(l) examining an application to register face amount
certificate contracts under subsection B of Section 6 of this Act;
(m) examining an amended or supplemental prospectus
filed pursuant to the undertaking required by sub-paragraph (f) of paragraph (2) of subsection B of Section 6 of this Act;
(n) registering or renewing registration of face
amount certificate contracts under Section 6 of this Act;
(o) amending a registration of face amount
certificate contracts pursuant to subsection E of Section 6 of this Act to add any additional series, type or class of contract;
(p) failure to file timely an application for renewal
under subsection F of Section 6 of this Act;
(q) adding to or withdrawing from deposits with
respect to face amount certificate contracts pursuant to subsection H of Section 6, a transaction charge payable at the times and in the manner specified in subsection H of Section 6 (which transaction charge shall be in addition to the annual fee called for by subsection H of Section 6 of this Act);
(r) failure to file timely any document or
information required under Section 6 of this Act;
(s) examining an application to register investment
fund shares under subsection B of Section 7 of this Act;
(t) examining an amended or supplemental prospectus
filed pursuant to the undertaking required by sub-paragraph (f) of paragraph (2) of subsection B of Section 7 of this Act;
(u) registering or renewing registration of
investment fund shares under Section 7 of this Act;
(v) amending a registration of investment fund shares
pursuant to subsection D of Section 7 of this Act to register an additional class or classes of investment fund shares;
(w) failure to file timely an application for renewal
under paragraph (l) of subsection G of Section 7 of this Act;
(x) examining an application for renewal of
registration of investment fund shares under paragraph (2) of subsection G of Section 7 of this Act;
(y) failure to file timely any document or
information required under Section 7 of this Act;
(z) filing an application for registration or
re-registration of a dealer or limited Canadian dealer under Section 8 of this Act for each office in this State;
(aa) in connection with an application for the
registration or re-registration of a salesperson under Section 8 or this Act, for the following purposes:
(i) filing an application;
(ii) a Securities Audit and Enforcement Fund fee;
and
(iii) a notification filing of federal covered
investment advisers;
(bb) in connection with an application for the
registration or re-registration of an investment adviser under Section 8 of this Act;
(cc) failure to file timely any document or
information required under Section 8 of this Act;
(dd) filing a consent to service of process under
Section 10 of this Act;
(ee) issuing a certificate pursuant to subsection B
of Section 15 of this Act;
(ff) issuing a certified copy pursuant to subsection
C of Section 15 of this Act;
(gg) issuing a non-binding statement pursuant to
Section 15a of this Act;
(hh) filings by Notification under Section 2a;
(ii) notification filing of federal Regulation D,
Section 506 offering under the Federal 1933 Act;
(jj) notification filing of securities and closed-end
investment company securities;
(kk) notification filing of face amount certificate
contracts;
(ll) notification filing of open-end investment
company securities;
(mm) filing a report pursuant to subsection D of
Section 4 of this Act;
(nn) in connection with the filing of an application
for registration or re-registration of an investment adviser representative under subsection D of Section 8 of this Act.
(2) The Secretary of State may, by rule or regulation, raise or lower any fee imposed by, and which he or she is authorized by law to collect under, this Act.
(Source: P.A. 90-70, eff. 7-8-97; 91-357, eff. 7-29-99.)
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Last modified: February 18, 2015