What's New

• Annual Audited Financial Statements for Registered FINRA Broker-Dealers
• Investment Adviser Seminar
• Investment Adviser Questionnaire 2012
• Order Waiving the Renewal Fee for Individuals on Active Military Duty
• Sixth Transition Order Administering Michigan Uniform Securities Act 
• Charitable Bonds 
• Fifth Transition Order Administering Michigan Uniform Securities Act
• Final Notice Regarding Investment Adviser Representative Registration Requirement
• Fourth Transition Order Administering Michigan Uniform Securities Act 
• Third Transition Order administering the Michigan Uniform Securities Act 
• Second Transition Order Administering Michigan Uniform Securities Act, Order 09-055-M-M
  NOTE: Order 09-055-M (9/1/2009) modifies paragraph 14 of order 09-049-M (included for your convenience).
• Transition Order Administering Michigan Uniform Securities Act, Order 09-049-M
  NOTE: Order 09-055-M (9/30/2009) modifies paragraph 14 of order 09-049-M (09-055-M is included for your convenience).
• Effective 10/1/09, Michigan Uniform Securities Act, PA 551 of 2008

Enforcement

   Filing a Complaint

   Checking on a company or individual:

• FINRA BrokerCheck
  (Broker-Dealers & Securities Agents)
• SEC Investment Adviser Search
  (Investment Advisers & Investment Adviser Representatives)

   Enforcement Orders

Who We Regulate / Registration Information

• Broker-Dealers
• Securities Agents
• Investment Advisers
• Investment Adviser Representatives
• Product/Securities Offerings
• Living Care

All Forms