Registration By Coordination

Registration By Coordination

Statute Authority

Michigan Uniform Securities Act, Article 3

• Michigan Uniform Securities Act

Rule Authority

New Administrative Rules (PDF) (Effective 7.3.19)

• New Administrative Rules

Forms / Documents:

• Form U-1
  Uniform Application To Register Securities
• Form U-2
  Uniform Consent To Service of Process
• Form U-2a
  Uniform Corporate Resolution
• NASAA Statement of Policy

 

Key Points

• Registration by coordination applies to larger, national or regional interstate securities offerings that are required to register at both the federal and state levels. The registrations are coordinated by simultaneous filings with the SEC, Michigan’s Corporations, Securities & Commercial Licensing Bureau, and other state securities agencies. Federal and state registrations can become effective simultaneously if there are no outstanding deficiencies at the time the SEC declares a registration effective.

 

Coordinated Review Programs

• Coordinated Equity Review
• Coordinated DPP Program

 

 

Contact Us:

Department of Licensing and Regulatory Affairs (LARA)

Corporations, Securities & Commercial Licensing Bureau (CS&CL)

Securities and Audit Division

Address:  PO Box 30018, Lansing, MI 48909

Overnight Mail (FedEx/UPS): 2407 N. Grand River Ave, Lansing, MI 48906

Phone: (517) 335-5237

Fax:  (517) 241-6656

Email: LARA-CSCL-Securities-Audit@michigan.gov