State Codes and Statutes
Statutes > Wisconsin > 551
551.101 Short title.
551.102 Definitions.
551.103 References to federal statutes.
551.104 References to federal agencies.
551.105 Electronic records and signatures.
551.201 Exempt securities.
551.202 Exempt transactions.
551.203 Additional exemptions and waivers.
551.204 Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.
551.301 Securities registration requirement.
551.302 Notice filing.
551.303 Securities registration by coordination.
551.304 Securities registration by qualification.
551.305 Securities registration filings.
551.306 Denial, suspension, and revocation of securities registration.
551.307 Waiver and modification.
551.401 Broker-dealer registration requirement and exemptions.
551.402 Agent registration requirement and exemptions.
551.403 Investment adviser registration requirement and exemptions.
551.404 Investment adviser representative registration requirement and exemptions.
551.405 Federal covered investment adviser notice filing requirement.
551.406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
551.407 Succession and change in registration of broker-dealer or investment adviser.
551.408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
551.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
551.411 Postregistration requirements.
551.412 Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration.
551.501 General fraud.
551.502 Prohibited conduct in providing investment advice.
551.503 Evidentiary burden.
551.504 Filing of sales and advertising literature.
551.505 Misleading filings.
551.506 Misrepresentations concerning registration or exemption.
551.507 Qualified immunity.
551.508 Criminal penalties.
551.509 Civil liability.
551.511 Rescission offers.
551.601 Administration.
551.602 Investigations and subpoenas.
551.603 Civil enforcement.
551.604 Administrative enforcement.
551.605 Rules, forms, orders, interpretative opinions, and hearings.
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.
551.701 Effective date.
551.703 Application of act to existing proceeding and existing rights and duties.
State Codes and Statutes
Statutes > Wisconsin > 551
551.101 Short title.
551.102 Definitions.
551.103 References to federal statutes.
551.104 References to federal agencies.
551.105 Electronic records and signatures.
551.201 Exempt securities.
551.202 Exempt transactions.
551.203 Additional exemptions and waivers.
551.204 Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.
551.301 Securities registration requirement.
551.302 Notice filing.
551.303 Securities registration by coordination.
551.304 Securities registration by qualification.
551.305 Securities registration filings.
551.306 Denial, suspension, and revocation of securities registration.
551.307 Waiver and modification.
551.401 Broker-dealer registration requirement and exemptions.
551.402 Agent registration requirement and exemptions.
551.403 Investment adviser registration requirement and exemptions.
551.404 Investment adviser representative registration requirement and exemptions.
551.405 Federal covered investment adviser notice filing requirement.
551.406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
551.407 Succession and change in registration of broker-dealer or investment adviser.
551.408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
551.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
551.411 Postregistration requirements.
551.412 Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration.
551.501 General fraud.
551.502 Prohibited conduct in providing investment advice.
551.503 Evidentiary burden.
551.504 Filing of sales and advertising literature.
551.505 Misleading filings.
551.506 Misrepresentations concerning registration or exemption.
551.507 Qualified immunity.
551.508 Criminal penalties.
551.509 Civil liability.
551.511 Rescission offers.
551.601 Administration.
551.602 Investigations and subpoenas.
551.603 Civil enforcement.
551.604 Administrative enforcement.
551.605 Rules, forms, orders, interpretative opinions, and hearings.
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.
551.701 Effective date.
551.703 Application of act to existing proceeding and existing rights and duties.
State Codes and Statutes
Statutes >
Wisconsin >
551551.101 Short title.551.102 Definitions.551.103 References to federal statutes.551.104 References to federal agencies.551.105 Electronic records and signatures.551.201 Exempt securities.551.202 Exempt transactions.551.203 Additional exemptions and waivers.551.204 Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.551.301 Securities registration requirement.551.302 Notice filing.551.303 Securities registration by coordination.551.304 Securities registration by qualification.551.305 Securities registration filings.551.306 Denial, suspension, and revocation of securities registration.551.307 Waiver and modification.551.401 Broker-dealer registration requirement and exemptions.551.402 Agent registration requirement and exemptions.551.403 Investment adviser registration requirement and exemptions.551.404 Investment adviser representative registration requirement and exemptions.551.405 Federal covered investment adviser notice filing requirement.551.406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative.551.407 Succession and change in registration of broker-dealer or investment adviser.551.408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association.551.409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.551.411 Postregistration requirements.551.412 Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration.551.501 General fraud.551.502 Prohibited conduct in providing investment advice.551.503 Evidentiary burden.551.504 Filing of sales and advertising literature.551.505 Misleading filings.551.506 Misrepresentations concerning registration or exemption.551.507 Qualified immunity.551.508 Criminal penalties.551.509 Civil liability.551.511 Rescission offers.551.601 Administration.551.602 Investigations and subpoenas.551.603 Civil enforcement.551.604 Administrative enforcement.551.605 Rules, forms, orders, interpretative opinions, and hearings.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.551.701 Effective date.551.703 Application of act to existing proceeding and existing rights and duties.
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