Once An Agent is Registered as a Non-FINRA or Issuer Securities Agent
Amendments: Any amendments to the Form
U-4 should be sent directly to our office.
Renewal: A renewal notice is mailed annually in November. The firm should determine which agents to renew, and submit the FIS 0523 Non-FINRA Broker-Dealer Renewal or FIS 0524 Issuer-Agent Renewal and a check in the amount of $65.00 per agent to the State of Michigan on or before December 31st of the current year. Failure to
pay the renewal fee by the end of the year will result in the agent's
registration being automatically terminated. Late payments will not automatically
restore the status of the registration to active, nor will an automatic refund
be produced. A late payment may be applied to submission of a new registration
upon written request and approval by our office.
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