Submit the following:

1. Amendments:  Any amendments to the Form BD. 

2. Renewal:  A renewal notice is mailed the second week of November of each year.  The firm should complete the renewal form and submit the renewal fee in the amount of $300.00 by December 31^st 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.  

3. 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. 

Office of Financial and Insurance Regulation,
Securities Registration,
P.O. Box 30220
Lansing , MI   48909