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ARTICLE

BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS

  • Mich. Comp. Laws § 451.2401— Broker-dealer registration; requirements; exemptions; limitation on employment or association; employment or association with certain individuals prohibited; rule or order
  • Mich. Comp. Laws § 451.2402— Agent registration; requirements; exemptions; employment or association; acting as agent for more than 1 broker-dealer or issuer; exception
  • Mich. Comp. Laws § 451.2403— Investment advisor registration; requirements; exemptions; employment or association with certain individuals prohibited; exception
  • Mich. Comp. Laws § 451.2404— Investment advisor representative; registration; requirements; exemption; employment or association; transacting business for more than 1 investment adviser; referral fees
  • Mich. Comp. Laws § 451.2405— Federal covered investment adviser; filing requirements; exceptions; notice; effectiveness of filing
  • Mich. Comp. Laws § 451.2406— Registration by broker-dealer, agent, investment adviser, or investment adviser representative; application; fee; correcting amendment; effectiveness of registration; renewal; other conditions or waivers
  • Mich. Comp. Laws § 451.2407— Succession or change in registration of broker-dealer or investment adviser; change in organization, name, or control
  • Mich. Comp. Laws § 451.2408— Termination of employment or association of agent and investment adviser representative; notice; other employment or association; withdrawal of temporary registration; power of administrator to prevent transfer; cancellation or termination of registration or application; reinstatement
  • Mich. Comp. Laws § 451.2409— Withdrawal of registration by broker-dealer, agent, investment adviser, or investment adviser representative
  • Mich. Comp. Laws § 451.2410— Filing fees
  • Mich. Comp. Laws § 451.2411— Financial requirements; reports; records; audits or inspections; custody and discretionary authority bond or insurance; furnishing information to clients; continuing education
  • Mich. Comp. Laws § 451.2412— Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration; discipline; examination; summary actions; liability of control person; limitation on proceeding
  • Mich. Comp. Laws § 451.2413— Broker-dealer acting as finder; prohibited conduct