There is a newer version of the Wisconsin Statutes & Annotations
2012 Wisconsin Statutes & Annotations
subch. I of ch. 551 SUBCHAPTER I
551. Wisconsin uniform securities law.
- 551.101 Short title.
- 551.102 Definitions.
- 551.103 References to federal statutes.
- 551.104 References to federal agencies.
- 551.105 Electronic records and signatures.
EXEMPTIONS FROM REGISTRATION OF SECURITIES
- 551.201 Exempt securities.
- 551.202 Exempt transactions.
- 551.203 Additional exemptions and waivers.
- 551.204 Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.
REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES
- 551.301 Securities registration requirement.
- 551.302 Notice filing.
- 551.303 Securities registration by coordination.
- 551.304 Securities registration by qualification.
- 551.305 Securities registration filings.
- 551.306 Denial, suspension, and revocation of securities registration.
- 551.307 Waiver and modification.
BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
- 551.401 Broker-dealer registration requirement and exemptions.
- 551.402 Agent registration requirement and exemptions.
- 551.403 Investment adviser registration requirement and exemptions.
- 551.404 Investment adviser representative registration requirement and exemptions.
- 551.405 Federal covered investment adviser notice filing requirement.
- 551.406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
- 551.407 Succession and change in registration of broker-dealer or investment adviser.
- 551.408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
- 551.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
- 551.411 Postregistration requirements.
- 551.412 Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration.
FRAUD AND LIABILITIES
- 551.501 General fraud.
- 551.502 Prohibited conduct in providing investment advice.
- 551.503 Evidentiary burden.
- 551.504 Filing of sales and advertising literature.
- 551.505 Misleading filings.
- 551.506 Misrepresentations concerning registration or exemption.
- 551.507 Qualified immunity.
- 551.508 Criminal penalties.
- 551.509 Civil liability.
- 551.511 Rescission offers.
ADMINISTRATION AND JUDICIAL REVIEW
- 551.601 Administration.
- 551.602 Investigations and subpoenas.
- 551.603 Civil enforcement.
- 551.604 Administrative enforcement.
- 551.605 Rules, forms, orders, interpretative opinions, and hearings.
- 551.606 Administrative files and opinions.
- 551.607 Public records; confidentiality.
- 551.608 Uniformity and cooperation with other agencies.
- 551.609 Judicial review.
- 551.611 Service of process.
- 551.613 Jurisdiction.
- 551.614 Fees and expenses.
- 551.615 Statutory policy.
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