Wisconsin Administrative Code
Department of Financial Institutions
DFI-Sec 1-36 - Department of Financial Institutions-Securities
Chapter DFI-Sec 5 - Registration and notice filing procedures for investment advisers, federal covered investment advisers, and investment adviser representatives
- Section DFI-Sec 5.01 - Registration procedure
- Section DFI-Sec 5.02 - Net worth requirement
- Section DFI-Sec 5.03 - Investment advisers' records
- Section DFI-Sec 5.035 - Investment advisors with custody
- Section DFI-Sec 5.04 - Reporting requirements
- Section DFI-Sec 5.05 - Practice and advisory contract rules
- Section DFI-Sec 5.06 - Prohibited conduct
- Section DFI-Sec 5.07 - Registration and notice filing period
- Section DFI-Sec 5.08 - Withdrawal of registration
- Section DFI-Sec 5.09 - Denial, suspension, revocation and censure
- Section DFI-Sec 5.10 - Electronic filing
- Section DFI-Sec 5.11 - Federal covered investment adviser notice filing procedure
- Section DFI-Sec 5.12 - Transition filing
- Section DFI-Sec 5.13 - Registration exemptions
Current through February 26,
2024
Disclaimer: These regulations may not be the most recent version. Wisconsin may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.