Securities Industry (Fees) Regulations (Amendment) (Cth)

Statutory Rules 1989 No. 1271

Securities Industry (Fees) Regulations2

(Amendment)

I, THE GOVERNOR-GENERAL of the Commonwealth of Australia, acting with the advice of the Federal Executive Council and in accordance with subsection 5 (2) of the Securities Industry (Fees) Act 1980,hereby make the following Regulations under that Act.

Dated 14 June 1989

BILL HAYDEN

Governor-General

By His Excellency’s Command,

Lionel Bowen

Attorney-General

Commencement

1. These Regulations commence on 1 July 1989.

Schedule

2. The Schedule to the Securities Industry (Fees) Regulations is repealed and the following Schedule substituted:

SCHEDULE Regulation 3

PRESCRIBED FEES

Column 1	Column 2	Column 3
Item	Matter	Fee
$
1	Receiving an application for a declaration under subsection 37 (1a) by the Ministerial Council that a specified stock market, or a stock market included in a specified class of stock markets, is an exempt stock market............................	830
2	Making an application under section 38 for approval of a body corporate as a stock exchange............................................................................................	830
3	Lodging an application under subsection 38a (1) for approval of a body corporate as an approved securities organization..........................................................	830
4	Giving notice under section 39 of an amendment or amendments to the business rules or listing rules of a stock exchange.......................................................	80

(S.R. 109/89) Cat. No. 14/2.5.1989

 

SCHEDULE—continued

Column 1	Column 2	Column 3
Item	Matter	Fee
$
5	Making an application under section 47 by a person other than a body corporate for a dealers licence or an investment advisers licence ................	80
6	Making an application under section 47 by a body corporate for a dealers licence or an investment advisers licence.................................................. .	170
7	Making an application under section 47 for a representatives licence .........	34
8	Making an application under section 50 by a dealer’s representative or an investment representative.........................................................................	10
9	Inspecting the Register of Licence Holders under subsection 54 (4)............	4
10	Giving notice under section 55 of change of particulars.............................	10
11	Lodging a statement under section 56 by a dealer or investment adviser (other than a body corporate).............................................................................	42
12	Lodging a statement under section 56 by a body corporate.........................	80
13	Lodging a statement under section 56 by a dealer’s representative or an investment representative.........................................................................	16
14	Lodging notice under subsection 75 (12) or giving notice under subsection 90 (2) or (3) ................................................................................................	16
15	Lodging a profit and loss account and balance sheet under subsection 78 (2) ...............................................................................................................	16
16	Receiving a notice under subsection 122bc (1) of an amendment made to the business rules of a body corporate in relation to which a nomination as the National Securities Exchanges Guarantee Corporation is in force under subsection 122ba (1)	80
17	Lodging any other document with the Commission...................................	16

NOTES

1. Notified in the Commonwealth of Australia Gazette on 21 June 1989.

2. Statutory Rules 1981 No. 128 as amended by 1983 No. 186; 1984 No. 242; 1986 No. 147; 1987 Nos. 80 and 204; 1988 No. 107.

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