Securities applications, 1955-1957 (65 ft., 10 in.). Mainly form S-1, a special securities application used only where the securities to be offered have been filed for registration with the Federal Securities and Exchange Commission. It is a registration statement for new, revived or extended right to sell securities, debentures, bonds and investment funds in Michigan, in accordance with Act 220, MPA 1923, as amended, and the Federal Securities Act of 1933. Form content relates to plan; capitalization; summary of earnings, dividends and price range of capital stock; description of debentures, capital stock and warrants; description of business and property; list of executive officer and directors, financial statements, opinions of independent public accountants and statistical schedules. File jackets carry stamped acceptance or rejection by the Michigan Corporation and Securities Commission and its legal successor, the Department of Commerce, Securities Bureau, and the date. May include all or part of the following: name and address of corporation, officers and stockholders; prospectus; issuer's convenant; legal opinion; list of persons to whom applicant would sell; evaluation; indenture; statement of capitalization; certificate of authority by chief financial officer; copy of articles of incorporation; certificate of amendment to articles of incorporation; by-laws; list of security holders; history of corporation; balance sheet; statement of profit and loss; specimen of stock share; annual securities report of condition in accordance with Sec. 28, Act 220 of MPA 1923, as amended; letters of receipt and transmittal relating to fees; news releases; copy of order of approval, denial and condition; printed report of finances; and occasionally, descriptive brochures. Arranged numerically. Index in agency. Applications in from securities dealers, 1965-1966 (1 ft. Sampling, A-C). Mainly forms CR and AR, application for broker-dealer and agent registration in accordance with Act 265, MPA 1964, as amended. May include corporate assignment separate from bond; balance sheet of finances; bonds if net capital does not exceed $100,000; letters from applicant stating knowledge and consent; letters in and carbons of letters out; and orders to postpone action, vacate previous order or accelerate registration. Form AR carries stamped date and amount of fees received. Arranged alphabetically by name of corporation. Selected correspondence relating to Uniform Securities Act, 1962-1966 (10 in.). Letters in, carbons of letters out, memoranda, informational statements, laws, drafts of legislative acts and amendments, directives outlining procedures, forms, rules and regulations, and reference materials preliminary to new Blue Sky Law accumulated by the deputy commissioner. Arranged loosely by date.
