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

Statutory Rules 1987 No. 1071

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 25 May 1988.

N. M. STEPHEN

Governor-General

By His Excellency’s Command,

Lionel Bowen

Attorney-General

Commencement

1. These Regulations commence on 1 July 1988.

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 The Schedule to the Securities Industry (Fees) Regulations is repealed and the following Schedule substituted: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......................	770
2	Making an application under section 38 for approval of a body corporate as a stock exchange.........................................................................................	770
3	Lodging an application under subsection 38a (1) for approval of a body corporate as an approved securities organization.........................................	770
4	Giving notice under section 39 of an amendment or amendments to the business rules or listing rules of a stock exchange ...................................................	75

(S.R. 101/88)—Cat. No. 16/27.4.1988

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.....................................	75
6	Making an application under section 47 by a body corporate for a dealers licence or an investment advisers licence...................................................................	160
7	Making an application under section 47 for a representatives licence ...............	32
8	Making an application under section 50 by a dealer’s representative or an investment representative..............................................................................	9
9	Inspecting the Register of Licence Holders under subsection 54 (4).................	4
10	Giving notice under section 55 of change of particulars...................................	9
11	Lodging a statement under section 56 by a dealer or investment adviser (other than a body corporate)..........................................................................................	39
12	Lodging a statement under section 56 by a body corporate..............................	75
13	Lodging a statement under section 56 by a dealer’s representative or an investment representative...............................................................................................	15
14	Lodging notice under subsection 75 (12) or giving notice under subsection 90 (2) or (3)............................................................................................................	15
15	Lodging a profit and loss account and balance sheet under subsection 78 (2) ...	15
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)	75
17	Lodging any other document with the Commission.........................................	15

NOTES

1. Notified in the Commonwealth of Australia Gazette on 1 June 1988.

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

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