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Wisconsin Administrative Code
DFI
DFI-Sec
DFI-Sec 4
Wis. Admin. Code ch. DFI-Sec 4
Registration of Broker-dealers and Agents
Department of Financial Institutions-Securities
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4.01
Registration procedure.
4.02
Net capital requirements and aggregate indebtedness limitations.
4.03
Broker-dealers’ records.
4.04
Reporting requirements.
4.05
Practice rules.
4.06
Prohibited conduct.
4.07
Registration period.
4.08
Withdrawal of registrations.
4.09
Denial, suspension, revocation and censure.
4.10
Registration exemptions.
4.11
Registration exemption for certain merger and acquisition brokers.