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Wisconsin Administrative Code
DFI
DFI-Sec
Department of Financial Institutions-Securities
Department of Financial Institutions-Securities
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DFI-Sec 1
Title and Definitions
DFI-Sec 2
Registration Exemptions and Federal Covered Security Notice Filings
DFI-Sec 3
Registration Requirements and Procedures
DFI-Sec 4
Registration of Broker-dealers and Agents
DFI-Sec 5
Registration and Notice Filing Procedures for Investment Advisers, Federal Covered Investment Advisers, and Investment Adviser Representatives
DFI-Sec 6
Fraudulent Practices
DFI-Sec 7
General Provisions
DFI-Sec 8
Administrative Procedure
DFI-Sec 9
Forms
DFI-Sec 10
Use of Senior-specific Certifications and Professional Designations
DFI-Sec 11
Investment Adviser Representative Continuing Education
DFI-Sec 21
Definitions
DFI-Sec 22
Filing of Ownership Information
DFI-Sec 23
Registration of Take-over Offers
DFI-Sec 24
Exemptions
DFI-Sec 25
False or Misleading Solicitation Materials
DFI-Sec 26
Fraudulent and Deceptive Practices
DFI-Sec 27
General Provisions
DFI-Sec 28
Conformity with Federal Law
DFI-Sec 29
Forms
DFI-Sec 31
Definitions
DFI-Sec 32
Exemption and Registration of Franchises
DFI-Sec 34
Fraudulent and Prohibited Practices
DFI-Sec 35
General Provisions
DFI-Sec 36
Administrative Procedure