Products/Securities Offerings

Exemptions
The burden of proof for qualifying for an exemption, exception, preemption or exclusion is on the person claiming the exemption, exception, preemption or exclusion. All exemptions listed in the Michigan Uniform Securities Act are self-executing.

Regulation D

• Form D, Rule 506 Notice Filing Requirements
• Regulation D
• Form D
• Accredited Investor Net Worth Standard

Investment Company (Mutual Funds)

• Investment Company Notice Filing Fees
• Form NF
• Form U-2 Consent To Service of Process

Registration by Coordination

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

NASAA Offering Guidelines (followed in Michigan)

• Omnibus Offering Guidelines
• Church Bonds
• Church Extension Funds
• Real Estate Investment Trusts (REITs)
• Oil & Gas
• Equipment
• Commodity Pools

Coordinated Review Programs

• Coordinated Equity Review
• Coordinated DPP Program