FINRA Broker-Dealers: How To Register

Notify FINRA of your desire to become registered in the state of Michigan by amending Form BD on the Central Registration Depository (CRD) System.

Contact FINRA at www.finra.org for further information or by telephone at 301-590-6500. Michigan will be advised of your registration request via the CRD System. A filing fee in the amount of $300.00 will be removed from the applicant's account and forwarded to our office.

After amending Form BD, the following documents are required for registration in Michigan:

  • A copy of the applicant's latest Focus Report filed with FINRA. The report should be no older than 45 days when received.
  • If the applicant has not filed a Focus Report, a current balance sheet and net capital computation are acceptable.
  • A copy of the applicant's most recent audited financial statement. If the applicant does not have an audited financial statement for its latest fiscal year, 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
525 W. Allegan St.
Lansing, MI 48913