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 BDoriginally 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.

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