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Wisconsin Administrative Code
DFI
DFI-Sec
DFI-Sec 5
Wis. Admin. Code ch. DFI-Sec 5
Registration and Notice Filing Procedures for Investment Advisers, Federal Covered Investment Advisers, and Investment Adviser Representatives
Department of Financial Institutions-Securities
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5.01
Registration procedure.
5.02
Net worth requirement.
5.03
Investment advisers’ records.
5.035
Investment advisers with custody.
5.04
Reporting requirements.
5.05
Practice and advisory contract rules.
5.06
Prohibited conduct.
5.065
Application of prohibitions, distribution of materials, definitions.
5.066
Additional prohibited conduct.
5.07
Registration and notice filing period.
5.08
Withdrawal of registration.
5.09
Denial, suspension, revocation and censure.
5.10
Electronic filing.
5.11
Federal covered investment adviser notice filing procedure.
5.13
Registration exemptions.
5.14
Investment advisers, investment adviser representatives.