Documentation relating to the registration of brokers, agents and investment advisors, 1970-1972.

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Documentation relating to the registration of brokers, agents and investment advisors, 1970-1972.

http://www.worldcat.org/oclc/652500563

Minutes relating to registration of broker-dealers, agents and investment advisors, 1970-1971 (3 ft., 2 in.). Comprised of numbered and unnumbered forms attested to by director of the Department of Commerce and the Securities Bureau. Includes order of deferral of registration; order releasing funds from escrow; (R01), order of acceleration of registration effectiveness; (R024), order of cancellation of registration; (R010, A,B,C), order vacating previous order; (LR025), registration statement; (LR025A), amendment of registration statement. Arranged chronologically, then numerically by page number. Applications for renewal agents' registration and order of acceleration of registration effectiveness, 1970-1972 (1 ft.). Form S-10 (formerly form RPR), applications called "Registration Renewals", offer name and address of applicant; employer; whether broker-dealer or issuer; full name, business and residence address of agents employed and registered on date of submission. Order pursuant to Section 202(A) of Act 265, MPA 1964, as amended, that the registration of agents be attached to Form S-10, carries seal of authority. Arranged alphabetically, then numerically by page number.

10 mss. boxes (4 ft. 2 in.).

State Archive of Michigan

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SNAC Resource ID: 7943761

State Archive of Michigan

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There are 2 Entities related to this resource.

Michigan. Dept. of Commerce.

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The Michigan Public Service Commission was created by Act 3 of the Public Acts of 1939. The Securities Bureau was created under Act 13 of the Public Acts of 1935. And the Industry Division, under the Office of Economic Expansion, was established by Act 116 of the Public Acts of 1963. All were transferred to the Department of Commerce by the Executive Organization Act of 1965. From the description of Records of the Department of Commerce, [1946-1965]. (State Archive of Michigan). Worl...

Michigan. Securities Bureau

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