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You will pay the state filing fee through IARD which passes your payment to the state securities authority where your filing is made.Be sure you have sufficient funds in your IARD Flex-Funding Account to pay the state filing fee before you try to submit your Form ADV amendment.No fee is charged for filing an electronic amendment to Form ADV unless it is an Annual Updating Amendment.

For state registered investment advisor firms, the answer is that it’s “likely” your state securities regulator expects a compliance program in some form.No fee is charged for electronically filing a final report.The Commission has approved the initial report and annual IARD filing fees for Exempt Reporting Advisers filing reports with the Commission (see Release No. Exempt Reporting Advisers will have to pay the fee associated with their initial reports with the Commission filed on or after November 7, 2011.Most state securities regulators require state registered investment advisor firms to maintain and enforce written procedures which set forth the procedures adopted by the firm in order to comply with the state’s rules and regulations and properly supervise its associated persons.Firms registering as an investment advisor directly with a state securities regulator will likely be subject to a net worth/net capital and/or bonding requirement.

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