# S.C. Code Ann. § 35-1-410: SECTION 35-1-410. Examination and filing fee requirements

> South Carolina · Statutes · In force

URL: https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-410

## Section

- **Citation:** S.C. Code Ann. § 35-1-410
- **Heading:** SECTION 35-1-410. Examination and filing fee requirements
- **Jurisdiction:** South Carolina
- **Kind:** Statutes
- **Status:** In force
- **Text as of:** August 14, 2026
- **Source:** Compiled text
- **Location:** SC Code / Title 35 / Chapter 1 / Article 4 / Section 35-1-410

## Text

(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 (c) When an application or other filing fee is denied or withdrawn, the filing fee shall not be refunded, except upon order by the Securities Commissioner.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.

## Nearby sections

- [S.C. Code Ann. § 35-1-401 SECTION 35-1-401. Broker-dealer registration requirement; exemptions.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-401.md)
- [S.C. Code Ann. § 35-1-402 SECTION 35-1-402. Agent registration requirement and exemptions.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-402.md)
- [S.C. Code Ann. § 35-1-403 SECTION 35-1-403. Investment adviser registration requirement; exemptions.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-403.md)
- [S.C. Code Ann. § 35-1-404 SECTION 35-1-404. Investment advisor representative registration requirement; exemptions.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-404.md)
- [S.C. Code Ann. § 35-1-405 SECTION 35-1-405. Federal covered investment adviser notice filing requirement.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-405.md)
- [S.C. Code Ann. § 35-1-406 SECTION 35-1-406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-406.md)
- [S.C. Code Ann. § 35-1-407 SECTION 35-1-407. Succession and change in registration of broker-dealer or investment adviser.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-407.md)
- [S.C. Code Ann. § 35-1-408 SECTION 35-1-408. Termination of employment or association of agent and investment adviser representative; transfer of employment or association.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-408.md)
- [S.C. Code Ann. § 35-1-409 SECTION 35-1-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-409.md)
- [S.C. Code Ann. § 35-1-410 SECTION 35-1-410. Examination and filing fee requirements.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-410.md)
- [S.C. Code Ann. § 35-1-411 SECTION 35-1-411. Postregistration requirements.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-411.md)
- [S.C. Code Ann. § 35-1-412 SECTION 35-1-412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration.](https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-412.md)

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Source: Frix Law Library, https://www.frixlaw.com/law-library/statutes/STATE_SC_T35_C1_A4_S35-1-410. Check the current official text before relying on it. Not legal advice.