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Non-FINRA Broker-Dealers: How To Register
Submit the following:
- A Form BD originally signed, dated and notarized by both the applicant and a notary with item 2 completed for Michigan.
- A cashier's check or money order made payable to the State of Michigan for the $300.00 filing fee.
- A copy of the written supervisory procedures to be used by the proposed broker-dealer.
- A current accrual balance sheet and net capital computation. The balance sheet should be no older than 45 days and must be signed as to the accuracy by an officer or director of the firm.
- A copy of the firm's most recent audited financial statement. If the firm does not have an audited financial statement for its latest fiscal yearend, please explain the reason in writing. Failure to submit the financial statements within 90 days will result in withdrawal of the application.
Send to:
Michigan Department of Licensing & Regulatory Affairs
Corporations, Securities and Commercial Licensing
Securities Division
US Postal Address: PO Box 30701, Lansing, MI 48909-8201
Physical Address: Constitution Hall, 1st Floor North, 525 West Allegan Street, Lansing, MI 48933-1502
Please direct all payments to:
CS&CL/Securities
US Postal Address: PO Box 30165, Lansing, MI 48909-7724
Physical Address: State Office Secondary Complex, General Office Building, 7150 Harris Dr, Dimondale, MI 48821-5002
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