This form is a due diligence questionnaire that requests information to be used to complete the Registration Statement prior to the Effective Date. The questionnaire should be distributed to each person who is selling securities pursuant to the Registration Statement in business transactions.
Michigan Comprehensive Selling Stockholder Questionnaire
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Multi-State
Control #:
US-DD06028
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How to fill out Comprehensive Selling Stockholder Questionnaire?
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Investment Adviser Public Disclosure (IAPD) Search your investment professional's background. Enter their name in our Investment Adviser Public Disclosure (IAPD) website to see if they're registered. It's a red flag if they're not! You can also check out whether they've ever been in trouble with securities regulators.
While FINRA does not regulate RIAs, it does administer the online application and filing system for the registration of investment advisory firms and individual investment adviser representatives.
A registered investment advisor (RIA) is any person or firm that advises clients on investments and manages their portfolios, and is registered with the U.S. Securities and Exchange Commission (SEC) or a state securities authority.
The Michigan Uniform Securities Act (MUSA), 2008 PA 551, provides for the regulation of the securities industry in Michigan.
This Standard Document is a form of Selling Stockholder Questionnaire. This questionnaire can be used in registered secondary offerings of securities to help collect and verify information relating to stockholders selling securities as part of the offering.
To Search for a Licensed Investment Advisor: To check whether a financial service provider is licensed by the DFPI, and for information about various financial products and services, check the DFPI's website at or call 1-866-275-2677.
Introduction. The Securities and Exchange Commission (the "Commission" or "SEC") regulates investment advisers, primarily under the Investment Advisers Act of 1940 (the "Advisers Act"), and the rules adopted under that statute (the "rules").
This Standard Document is a form of Selling Stockholder Questionnaire. This questionnaire can be used in registered secondary offerings of securities to help collect and verify information relating to stockholders selling securities as part of the offering.
In the context of registered securities offerings, an existing stockholder of a company that is selling shares in a registered public offering. A public offering of shares by existing stockholders is known as a secondary offering.
