Industry/ Registration Information

Industry/ Registration Information

What's New

• Webinars - Raising Capital in Michigan
• Security Seminars
• Sixth Transition Order Administering Michigan Uniform Securities Act
• Fifth Transition Order Administering Michigan Uniform Securities Act
• 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/Continuing Care Communities

All Forms

• Complaint Form
• Michigan Non-FINRA Broker Dealer Renewal
• Issuer Agent Renewal
• Personal Balance Sheet
• ADV Part 2
• Investment Adviser Supplemental Application
• Continuing Care Community Application for Initial Registration (CSCL/CCC-100)
• Continuing Care Community Consent to Service of Process (CSCL/CCC-101)
• Continuing Care Community Application for Renewal or Amendment(CSCL/CCC-102)
• Uniform Application to Register Securities