Monday, November 28, 2011

Michigan FAQ Addresses Investment Adviser Representative Concerns

A release by the Michigan Office of Financial and Insurance Regulation answers frequently asked questions pertaining to investment adviser representatives.

Topics include whether:

* employees or those associated with an investment adviser firm or a federal covered investment adviser must be registered as investment adviser representatives

* a fingerprint card is required for registration

* the Series 65 Exam must be taken

And what:

* procedure and fee amount are required for registration

* registration deadlines apply

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