Wisconsin Administrative Code
Department of Financial Institutions
DFI-Sec 1-36 - Department of Financial Institutions-Securities
- Chapter DFI-Sec 1 - Title and definitions
- Chapter DFI-Sec 2 - Registration exemptions and federal covered security notice filings
- Chapter DFI-Sec 3 - Registration requirements and procedures
- Chapter DFI-Sec 4 - Registration of broker-dealers and agents
- Chapter DFI-Sec 5 - Registration and notice filing procedures for investment advisers, federal covered investment advisers, and investment adviser representatives
- Chapter DFI-Sec 6 - Fraudulent practices
- Chapter DFI-Sec 7 - General provisions
- Chapter DFI-Sec 8 - Administrative procedure
- Chapter DFI-Sec 9 - Forms
- Chapter DFI-Sec 10 - Use of senior-specific certifications and professional designations
- Chapter DFI-Sec 11 - Investment Adviser Representative Continuing Education
- Chapter DFI-Sec 21 - Definitions
- Chapter DFI-Sec 22 - Filing of ownership information
- Chapter DFI-Sec 23 - Registration of take-over offers
- Chapter DFI-Sec 24 - Exemptions
- Chapter DFI-Sec 25 - False or misleading solicitation materials
- Chapter DFI-Sec 26 - Fraudulent and deceptive practices
- Chapter DFI-Sec 27 - General provisions
- Chapter DFI-Sec 28 - Conformity with federal law
- Chapter DFI-Sec 29 - Forms
- Chapter DFI-Sec 31 - Definitions
- Chapter DFI-Sec 32 - Exemption and registration of franchises
- Chapter DFI-Sec 34 - Fraudulent and prohibited practices
- Chapter DFI-Sec 35 - General provisions
- Chapter DFI-Sec 36 - Administrative procedure
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