Wisconsin uniform securities law.

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  3. Wisconsin uniform securities law.

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Section
551.101

Short title.

Section
551.102

Definitions.

Section
551.103

References to federal statutes.

Section
551.104

References to federal agencies.

Section
551.105

Electronic records and signatures.

Section
551.201

Exempt securities.

Section
551.202

Exempt transactions.

Section
551.203

Additional exemptions and waivers.

Section
551.204

Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.

Section
551.205

Additional provisions related to crowdfunding exemption for intrastate offerings through Internet sites.

Section
551.206

Adjustments.

Section
551.301

Securities registration requirement.

Section
551.302

Notice filing.

Section
551.303

Securities registration by coordination.

Section
551.304

Securities registration by qualification.

Section
551.305

Securities registration filings.

Section
551.306

Denial, suspension, and revocation of securities registration.

Section
551.307

Waiver and modification.

Section
551.401

Broker-dealer registration requirement and exemptions.

Section
551.402

Agent registration requirement and exemptions.

Section
551.403

Investment adviser registration requirement and exemptions.

Section
551.404

Investment adviser representative registration requirement and exemptions.

Section
551.405

Federal covered investment adviser notice filing requirement.

Section
551.406

Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

Section
551.407

Succession and change in registration of broker-dealer or investment adviser.

Section
551.408

Termination of employment or association of agent and investment adviser representative and transfer of employment or association.

Section
551.409

Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

Section
551.411

Postregistration requirements.

Section
551.412

Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration.

Section
551.501

General fraud.

Section
551.502

Prohibited conduct in providing investment advice.

Section
551.503

Evidentiary burden.

Section
551.504

Filing of sales and advertising literature.

Section
551.505

Misleading filings.

Section
551.506

Misrepresentations concerning registration or exemption.

Section
551.507

Qualified immunity.

Section
551.508

Criminal penalties.

Section
551.509

Civil liability.

Section
551.511

Rescission offers.

Section
551.601

Administration.

Section
551.602

Investigations and subpoenas.

Section
551.603

Civil enforcement.

Section
551.604

Administrative enforcement.

Section
551.605

Rules, forms, orders, interpretative opinions, and hearings.

Section
551.606

Administrative files and opinions.

Section
551.607

Public records; confidentiality.

Section
551.608

Uniformity and cooperation with other agencies.

Section
551.609

Judicial review.

Section
551.611

Service of process.

Section
551.613

Jurisdiction.

Section
551.614

Fees and expenses.

Section
551.615

Statutory policy.

Section
551.701

Effective date.

Section
551.703

Application of act to existing proceeding and existing rights and duties.