Chapter 551 — WISCONSIN UNIFORM SECURITIES LAW
45 sections in this chapter.
Wis. Stat. § 551.101 Short title
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551.101 Short title. This chapter shall be known and may be cited as the “Wisconsin Uniform Securities Law.” History: 2007 a. 196. Regulating Wisconsin-based Businesses: The Wisconsin Uniform Securities Act. Fallone. Wis. Law. Oct. 2009.
Wis. Stat. § 551.102 Definitions
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551.102 Definitions. In this chapter, unless the context otherwise requires: (1m) “Administrator” means the administrator of the division of securities in the department of financial institutions. (2) “Agent” means an individual, other than a broker-dealer, who represents a broke…
Wis. Stat. § 551.103 References to federal statutes
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551.103 References to federal statutes. “Securities Act of 1933” (15 USC 77a et seq.), “Securities Exchange Act of 1934” (15 USC 78a et seq.), “Public Utility Holding Company Act of 1935” (15 USC 79 et seq.), “Investment Company Act of 1940” (15 USC 80a-1 et seq.), “Investment Ad…
Wis. Stat. § 551.104 References to federal agencies
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551.104 References to federal agencies. A reference in this chapter to an agency or department of the United States is also a reference to a successor agency or department. History: 2007 a. 196.
Wis. Stat. § 551.105 Electronic records and signatures
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551.105 Electronic records and signatures. This chapter modifies, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, but does not modify, limit, or supersede section 101 (c) of that act (15 USC 7001 (c)) or authorize electronic delivery …
Wis. Stat. § 551.201 Exempt securities
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551.201 Exempt securities.
Wis. Stat. § 551.202 Exempt transactions
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551.202 Exempt transactions.
Wis. Stat. § 551.203 Additional exemptions and waivers
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551.203 Additional exemptions and waivers.
Wis. Stat. § 551.204 Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information
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551.204 Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.
Wis. Stat. § 551.205 Additional provisions related to crowdfunding exemption for intrastate offerings through Internet sites
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551.205 Additional provisions related to crowdfunding exemption for intrastate offerings through Internet sites.
Wis. Stat. § 551.206 Adjustments
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551.206 Adjustments. SUBCHAPTER III REGISTRATION OF SECURITIES AND NOTICE FILING OF FEDERAL COVERED SECURITIES
Wis. Stat. § 551.301 Securities registration requirement
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551.301 Securities registration requirement.
Wis. Stat. § 551.302 Notice filing
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551.302 Notice filing.
Wis. Stat. § 551.303 Securities registration by coordination
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551.303 Securities registration by coordination.
Wis. Stat. § 551.304 Securities registration by qualification
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551.304 Securities registration by qualification.
Wis. Stat. § 551.305 Securities registration filings
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551.305 Securities registration filings.
Wis. Stat. § 551.306 Denial, suspension, and revocation of securities registration
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551.306 Denial, suspension, and revocation of securities registration.
Wis. Stat. § 551.307 Waiver and modification
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551.307 Waiver and modification. SUBCHAPTER IV BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS
Wis. Stat. § 551.401 Broker-dealer registration requirement and exemptions
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551.401 Broker-dealer registration requirement and exemptions.
Wis. Stat. § 551.402 Agent registration requirement and exemptions
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551.402 Agent registration requirement and exemptions.
Wis. Stat. § 551.403 Investment adviser registration requirement and exemptions
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551.403 Investment adviser registration requirement and exemptions.
Wis. Stat. § 551.404 Investment adviser representative registration requirement and exemptions
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551.404 Investment adviser representative registration requirement and exemptions.
Wis. Stat. § 551.405 Federal covered investment adviser notice filing requirement
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551.405 Federal covered investment adviser notice filing requirement.
Wis. Stat. § 551.406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative
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551.406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative. Cross-reference: See also DFI-Sec, Wis. adm. code. SUBCHAPTER I GENERAL PROVISIONS
Wis. Stat. § 551.407 Succession and change in registration of broker-dealer or investment adviser
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551.407 Succession and change in registration of broker-dealer or investment adviser.
Wis. Stat. § 551.408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association
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551.408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
Wis. Stat. § 551.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
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551.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
Wis. Stat. § 551.411 Postregistration requirements
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551.411 Postregistration requirements.
Wis. Stat. § 551.412 Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration
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551.412 Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration. SUBCHAPTER V FRAUD AND LIABILITIES
Wis. Stat. § 551.501 General fraud
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551.501 General fraud.
Wis. Stat. § 551.502 Prohibited conduct in providing investment advice
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551.502 Prohibited conduct in providing investment advice.
Wis. Stat. § 551.503 Evidentiary burden
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551.503 Evidentiary burden.
Wis. Stat. § 551.504 Filing of sales and advertising literature
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551.504 Filing of sales and advertising literature.
Wis. Stat. § 551.505 Misleading filings
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551.505 Misleading filings.
Wis. Stat. § 551.506 Misrepresentations concerning registration or exemption
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551.506 Misrepresentations concerning registration or exemption.
Wis. Stat. § 551.507 Qualified immunity
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551.507 Qualified immunity.
Wis. Stat. § 551.508 Criminal penalties
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551.508 Criminal penalties.
Wis. Stat. § 551.509 Civil liability
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551.509 Civil liability.
Wis. Stat. § 551.511 Rescission offers
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551.511 Rescission offers. SUBCHAPTER VI ADMINISTRATION AND JUDICIAL REVIEW
Wis. Stat. § 551.601 Administration
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551.601 Administration.
Wis. Stat. § 551.602 Investigations and subpoenas
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551.602 Investigations and subpoenas.
Wis. Stat. § 551.603 Civil enforcement
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551.603 Civil enforcement.
Wis. Stat. § 551.604 Administrative enforcement
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551.604 Administrative enforcement.
Wis. Stat. § 551.605 Rules, forms, orders, interpretative opinions, and hearings
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551.605 Rules, forms, orders, interpretative opinions, and hearings.
Wis. Stat. § 551.606 Administrative files and opinions
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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. SUBCHAPTER V…