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2025 Wisconsin Statutes & Annotations
Chapter 551 - Wisconsin uniform securities law.
GENERAL PROVISIONS
- 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.
- 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.
- 551.205 - Additional provisions related to crowdfunding exemption for intrastate offerings through Internet sites.
- 551.206 - Adjustments.
- 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.
- 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.
- 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.
- 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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