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Michigan Uniform Application for Securities Industry Registration or...

Michigan Uniform Application for Securities Industry Registration or Transfer

Name: Michigan Uniform Application for Securities Industry Registration or Transfer
Brand: US Legal Forms
Price: 59.00 USD
Rating: 4.77 (260 reviews)

Category:

Michigan Secretary of State - Blue Sky - Securities - Broker-Dealer Agent Registration

State:

Michigan

Control #:

MI-SOS-U4

Format:

Instant download

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Description

Uniform Application for Securities Industry Registration or Transfer

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How to fill out Michigan Uniform Application For Securities Industry Registration Or Transfer?

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This introductory-level exam assesses a candidate's knowledge of basic securities industry information including concepts fundamental to working in the industry, such as types of products and their risks; the structure of the securities industry markets, regulatory agencies and their functions; and prohibited practices

The Series 65 license, known as the Uniform Investment Adviser Law Examination, qualifies individuals to provide investing and general financial advice to clients. Passing the Series 65 exam qualifies individuals as Investment Advisor Representatives (IARs).

To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.

Under the Uniform Securities Act, registration of a security in a State means that: I disclosure documents have been filed with the Administrator. II the Administrator has reviewed the content and accuracy of the filing. III the Administrator has approved of the securities being offered.

Michigan requires the Series 65 examination, which must be passed within two years preceding the date of application. The Series 65 costs $187. Schedule both exams through one of the Michigan exam locations. You have four months from the initial registration date to schedule these exams.

Examination Requirements: Michigan Investment Adviser Representative (?IAR?) registration requires either the Series 65 examination, or the combination of a Series 66 examination and a Series 7 exam held together. The exams must be taken and passed within 2 years preceding the application date.

A securities license allows you to market and sell investments. Depending on the license you obtain, you might have a job as a registered representative, stockbroker, or investment advisor.

All investment advisers and representatives operating in Michigan must adhere to the Michigan Uniform Securities Act. Get Your Education. Pursue a degree.Step 2: Register Your Firm in Michigan.Step 3: Take the Required Exam(s)Step 4: Ongoing Renewal and Update Requirements in Michigan.

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The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. Items 20 - 27 — The Form U4 is the Uniform Application for Securities Industry.Registration or Transfer. Form U-4 Uniform Application For Securities Industry Registration Or Transfer Form. This is a Official Federal Forms form and can be use in FINRA. Item 9 - 520 — Financial Industry Regulatory Authority's (FINRA) Uniform Application for Securities Industry Registration or Transfer. Form U-4 (Uniform Application for Securities Industry Registration or Transfer). Use Form U-4 to register at least one agent of your firm in Connecticut. Read Section A-1. Items 1 - 12 — The Securities and Exchange Commission has published in the Federal Register the Privacy Act Systems of Records Notice for these records.

Michigan Uniform Application for Securities Industry Registration or Transfer

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