Licensing of Investment Advisor’s Staff. (if desired)
Licensing of Investment Advisor’s Staff. (if desired) § $____ /year per registered representative § Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 § $____ /FINRA designated branch location § Plus all associated FINRA and State fees for Registered Representatives, including license and renewal fees Fund Fact Sheets § Design - $____ /fact sheet, includes first production § Production - $____ /fact sheet per production period § All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee § Web sites, third-party data provider costs, brochures, and other sales support materials – Project priced via Quasar proposal Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of shares, including, but not limited to: § Typesetting, printing and distribution of prospectuses and shareholder reports § Production, printing, distribution, and placement of advertising, sales literature, and materials § Engagement of designers, free-lxxxx writers, and public relations firms § Long-distance telephone lines, services, and charges § Postage, overnight delivery charges § FINRA registration fees [To include late U5 charge (if applicable)] (FINRA advertising filing fees are included in Advertising Compliance Review section above) § Record retention § Travel, lodging, and meals *Subject to annual CPI increase, Milwaukee MSA. Fees are billed monthly.
Licensing of Investment Advisor’s Staff. (if desired) Fund Fact Sheets
Licensing of Investment Advisor’s Staff. $__ per year per registered representative
Licensing of Investment Advisor’s Staff. (if desired) · $1,500 per year per registered representative · Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 · Plus all associated NASD and State fees for Registered Representatives, including license and renewal fees. Fund Fact Sheets · Design - $1,000 per fact sheet, includes first production · Production - $500.00 per fact sheet per production period · All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee. Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Shares, including, without limitation: · typesetting, printing and distribution of Prospectuses and shareholder reports · production, printing, distribution and placement of advertising and sales literature and materials · engagement of designers, free-xxxxx writers and public relations firms · long-distance telephone lines, services and charges · postage · overnight delivery charges · NASD registration fees (NASD advertising filing fees are included in Advertising Compliance Review section above) · record retention · travel, lodging and meals Fees are billed monthly. * Subject to CPI increase, Milwaukee MSA.
Licensing of Investment Advisor’s Staff. (if required) · $ 900 per year per registered representative · Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 · Plus any NASD and state fees for registered representatives, including license and renewal fees. Fund Fact Sheets · Design - $1,000 per fact sheet, includes first production · Production - $500.00 per fact sheet per production period · All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee.
Licensing of Investment Advisor’s Staff. (if desired) § $____ /year per registered representative § Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 § $____ /FINRA designated branch location § Plus all associated FINRA and State fees for Registered Representatives, including license and renewal fees Fund Fact Sheets § Design - $____ /fact sheet, includes first production § Production - $____ /fact sheet per production period § All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee § Web sites, brochures, and other sales support materials – Project priced via Quasar proposal Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Shares, including, without limitation: § Typesetting, printing and distribution of Prospectuses and shareholder reports § Production, printing, distribution, and placement of advertising, sales literature, and materials § Engagement of designers, free-lxxxx writers, and public relations firms § Long-distance telephone lines, services, and charges § Postage, overnight delivery charges § FINRA registration fees [To include late U5 charge (if applicable)] (FINRA advertising filing fees are included in Advertising Compliance Review section above) § Record retention § Travel, lodging, and meals Fees are billed monthly.
Licensing of Investment Advisor’s Staff. (if desired) Fund Fact Sheets Chief Compliance Officer Support Fee (Fund Complex)* Out-of-Pocket Expenses
Licensing of Investment Advisor’s Staff. (if desired) · $_____ per year per registered representative · Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 · Plus any FINRA and state fees for registered representatives, including license and renewal fees. · $_____ annual branch location fee, $_____ annual non-branch location fee (If required per FINRA regulation).
Licensing of Investment Advisor’s Staff. (if desired) · $2,500 per year per registered representative (RR) · Quasar is limited to these licenses for sponsorship: Series, 6, 7, 24, 26, 27, 63, 66 · $3,000 per FINRA designated branch location · Plus all associated FINRA and State fees for Registered Representatives, including license and renewal fees. · $500 penalty to be paid by Advisor if written notice of termination of a RR is not received by Quasar within ten (10) business days of the RR’s effective date of termination. Fund Fact Sheets · Design - $1,000 per fact sheet, includes first production · Production - $500.00 per fact sheet per production period · All printing costs are out-of-pocket expenses, and in addition to the design fee and production fee. · Web sites, brochures and other sales support materials – Project priced via Quasar proposal. Out-of-Pocket Expenses Reasonable out-of-pocket expenses incurred by the Distributor in connection with activities primarily intended to result in the sale of Shares, including, without limitation: · typesetting, printing and distribution of Prospectuses and shareholder reports · production, printing, distribution and placement of advertising and sales literature and materials · engagement of designers, free-lxxxx writers and public relations firms · long-distance telephone lines, services and charges · postage, overnight delivery charges · FINRA registration fees (FINRA advertising filing fees are included in Advertising Compliance Review section above) · record retention · travel, lodging and meals Fees are billed monthly. * Subject to CPI increase, Milwaukee MSA.
