State/Jurisdiction Mandating Information Regarding Investment Adviser Registration

The information made available on this Web Page has been supplied by states/jurisdictions that wish to communicate mandates concerning investment adviser (IA) registration. This page does not claim to list or provide information about every IA registration mandate. Please check with states/jurisdictions for complete information. A State Directory is available on the NASAA Web Site.

Please check the NASAA Web Site for any additional IA registration mandating information.

MICHIGAN:

The state of Michigan has replaced its current securities act with the new Uniform Securities Act 2008, PA551, effective October 1, 2009. Under the New Act, the state of Michigan will begin requiring the registration of investment adviser representatives (IAR) unless they are exempt from registration. Individuals will use Form U-4 through the CRD/IARD System to register IAR’s beginning November 1, 2009. Additional information and notices will be sent to Investment Adviser firms. Please refer to the state of Michigan’s Web site to review the act.

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