Wisconsin Administrative Code
Department of Financial Institutions
DFI-Sec 1-36 - Department of Financial Institutions-Securities
Chapter DFI-Sec 4 - Registration of broker-dealers and agents
- Section DFI-Sec 4.01 - Registration procedure
- Section DFI-Sec 4.02 - Net capital requirements and aggregate indebtedness limitations
- Section DFI-Sec 4.03 - Broker-dealers' records
- Section DFI-Sec 4.04 - Reporting requirements
- Section DFI-Sec 4.05 - Practice rules
- Section DFI-Sec 4.06 - Prohibited conduct
- Section DFI-Sec 4.07 - Registration period
- Section DFI-Sec 4.08 - Withdrawal of registrations
- Section DFI-Sec 4.09 - Denial, suspension, revocation and censure
- Section DFI-Sec 4.10 - Registration exemptions
Current through February 26, 2024
Chapter SEC 4 as it existed on December 31, 1977 was repealed and a new chapter SEC 4 was created effective January 1, 1978. Chapter SEC 4 was renumbered chapter DFI-Sec 4 under s. 13.93(2m) (b) 1, Stats., and corrections made under s. 13.93(2m) (b) 6 and 7., Stats., Register, December, 1996, No. 492.
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