Securities Industry (Fees) Regulations (Cth)

SECURITIES INDUSTRY (FEES) REGULATIONS
- Updated as at 8 February 1994 (#DATE 08:02:1994)
!!! These regulations are no longer in force - enabling legislation repealed by Act (No. 118, 1999)

*1* The Securities Industry (Fees) Regulations (in force under the Securities Industry (Fees) Act 1980) as shown in this reprint comprise Statutory Rules 1981 No. 128 amended as indicated in the Tables below.
Table of Statutory Rules
Year and Date of Date of Application, saving or
number notification in commencement transitional provisions
Gazette
1981 No. 128 12 June 1981 1 July 1981 (see
Gazette 1981, No. S118)
1983 No. 186 23 Sept 1983 1 Oct 1983 -
1984 No. 242 21 Sept 1984 1 Oct 1984 -
1986 No. 147 30 June 1986 1 July 1986 -
1987 No. 80 27 May 1987 1 July 1987 -
204 24 Sept 1987 1 Oct 1987 -
1988 No. 107 1 June 1988 1 July 1988 -
1989 No. 127 21 June 1989 1 July 1989 -
1990 No. 161 29 June 1990 1 July 1990 -
(a) The form of introductory words used to make Statutory Rules 1981 No. 128 was as follows:
"WHEREAS it is provided by subsection (2) of section 5 of the Securities Industry (Fees) Act 1980 that the power of the Governor-General to make regulations under that Act shall be exercised only in accordance with advice that is consistent with resolutions of the Ministerial Council for Companies and Securities established under the Agreement made on 22 December 1978 between the Commonwealth and the States:
AND WHEREAS it is provided by section 16A of the Acts Interpretation Act 1901 that a reference in an Act to the Governor-General is, unless the contrary intention appears, to be deemed to include the person for the time being administering the Government of the Commonwealth of Australia and is, unless the contrary intention appears, to be read as referring to that person acting with the advice of the Federal Executive Council:
AND WHEREAS the making of the following Regulations is in accordance with advice that is consistent with those resolutions:
NOW THEREFORE I, the Administrator of the Government of the Commonwealth of Australia, acting with the advice of the Federal Executive Council and in pursuance of section 4 of the Acts Interpretation Act 1901, hereby make the following Regulations under the Securities Industry (Fees) Act 1980.
Table of Amendments
ad=added or inserted am=amended rep=repealed rs=repealed and substituted
Provision affected How affected
R. 2 rs. 1987 No. 80
Schedule rs. 1983 No. 186
am. 1984 No. 242
rs. 1986 No. 147; 1987 Nos. 80 and
204; 1988 No. 107; 1989 No. 127;
1990 No. 161

SECURITIES INDUSTRY (FEES) REGULATIONS - TABLE OF PROVISIONS

TABLE

TABLE OF PROVISIONS
Regulations
1. Citation
2. Interpretation
3. Prescribed fees
SCHEDULE
PRESCRIBED FEES

SECURITIES INDUSTRY (FEES) REGULATIONS - REG 1
Citation

1. These Regulations may be cited as the Securities Industry (Fees) Regulations.*1* SEE NOTES TO FIRST ARTICLE OF THIS CHAPTER .

SECURITIES INDUSTRY (FEES) REGULATIONS - REG 2
Interpretation

2. In the Schedule, a reference to a section or subsection, without an enactment being cited, shall be taken as a reference to that section or subsection of the Securities Industry Act 1980.

SECURITIES INDUSTRY (FEES) REGULATIONS - REG 3
Prescribed fees

3. The fees payable for the purposes of subsection 4 (1) of the Securities Industry (Fees) Act 1980 are the fees specified in the Schedule in relation to the respective matters so specified.

SECURITIES INDUSTRY (FEES) REGULATIONS - SCHEDULE

SCH

SCHEDULE Regulation 3
PRESCRIBED FEES
Column 1 Item Column 2 Matter
Column 3 Fee $
1 Submitting 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
$890
2 Lodging an application under section 38 for approval of a body
corporate as a stock exchange
$890
3 Lodging an application under subsection 38A (1) for approval of a
body corporate as an approved securities organisation
$890
4 Giving notice under section 39 of an amendment or amendments to
the business rules or listing rules of a stock exchange
$85
5 Making an application under section 47 by a person other than a body
corporate for a dealers licence or an investment advisers licence
$85
6 Making an application under section 47 by a body corporate for a
dealers licence or an investment advisers licence
$185
7 Inspecting the Register of Licence Holders under subsection
54 (4)
$4
8 Lodging a notice under section 55 of a change of particulars
$11
9 Lodging a statement under section 56 by a dealer or investment
adviser (other than a body corporate)
$45
10 Lodging a statement under section 56 by a body corporate
$85
11 Lodging a notice under subsection 75 (12)
$17
12 Lodging a profit and loss account and balance sheet under subsection
78 (2)
$17
13 Giving a notice under subsection 122BC (1) of an amendment made to
the business rules of a body corporate for which a nomination as the
National Securities Exchanges Guarantee Corporation is in force under
subsection 122BA (1)
$85
14 Lodging any other document with the Commission
$17