Non-FINRA Broker-Dealers: How To Register

Submit the following:

  1. A Form BD  originally signed, dated and notarized by both the applicant and a notary with item 2 completed for Michigan.
  1. A cashier's check or money order made payable to the State of Michigan for the $300.00 filing fee.
  1. A copy of the written supervisory procedures to be used by the proposed broker-dealer.
  1. A current accrual balance sheet and net capital computation. The balance sheet should be no older than 45 days and must be signed as to the accuracy by an officer or director of the firm.
  1. A copy of the firm's most recent audited financial statement. If the firm does not have an audited financial statement for its latest fiscal yearend, please explain the reason in writing. Failure to submit the financial statements within 90 days will result in withdrawal of the application.

Send to:

Corporations, Securities and Commercial Licensing Bureau
Securities

Mailing Address:
PO Box 30018
Lansing, MI 48909

Street Address:
(Please note: Mail/Packages should not be sent to this address) 
2501 Woodlake Circle,
Okemos, MI 48864

Overnight Deliveries:
Corporations, Securities& Commercial Licensing
Securities
2407 N. Grand River Ave.
Lansing, MI 49006