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Non-FINRA Broker-Dealers: Once Registered
- Amendments: Any amendments to the broker-dealer's Form BD should be submitted directly to the address below.
- Renewal fees: A renewal notice is mailed the second week of November of each year. The firm should complete the FIS 0523 Broker-Dealer Renewal and submit the renewal fee in the amount of $300.00 (payable to the State of Michigan) by December 31st of the current year. A copy of the firm's latest audited financial statements as well as a current balance sheet are also required at the time of renewal. The balance sheet should be no older than 45 days when received and must be signed as to the accuracy by an officer or director of the firm. Failure to pay the renewal fee by the end of the year will result in the broker-dealer's registration being automatically terminated.
- Successor Broker-Dealers: Please submit an amended Form BD originally signed and dated by both the applicant and a notary along with a cashier's check or money order made payable to the State of Michigan in the amount of $125.00.
Corporations, Securities and Commercial Licensing Bureau
PO Box 30018
Lansing, MI 48909
(Please note: Mail/Packages should not be sent to this address)
2501 Woodlake Circle,
Okemos, MI 48864
Corporations, Securities & Commercial Licensing
2407 N. Grand River Ave.
Lansing, MI 49006