Exemptions Menu

• 25-Offerees Per Twelve-Month Period
• 25 Security-Holders
• Accredited Investors
• Bank-Issued Securities
• Bankruptcy
• Benefit Plans
• Broker-Dealer-Issued Securities (to its Officers, Partners, or Employees)
• Call and Put Options
• Class Vote by Stockholders
• Commercial Paper
• Consolidation
• Contract for the Sale or Purchase of a Market-Traded Commodity for Future Delivery
• Cooperative-Issued Securities
• Corporate Reorganization
• Covered Security
• Credit Union-Issued Securities
• Discretionary Order of Exemption
• Discretionary Trading Accounts
• Dividend Reinvestment Plans
• Dividends (Stock)
• Employee Benefit Plans
• Employee Benefit Plans, Except for Stock Option Plans
• Employee Benefit Plans Qualified as "Rule 701 Plans"
• Estates
• Evidences of Indebtedness Secured by a Mortgage or Deed of Trust
• Exchange-Listed Securities
• Exchange Offers with Existing Securityholders Not Involving Sales Commissions
• Existing Security Holders
• Existing Security Holders Plus 10 Other Persons
• Federal Covered Security
• Federal Regulation D-Rule 504
• Federal Regulation D-Rule 505
• Federal Regulation D-Rule 506
• Foreign Government Issued Securities
• Futures
• General Obligations
• Government-Issued Securities
• Government Securities of Investment­Quality Rating
• Industrial Revenue Bonds
• Industrial Development Bonds
• Insurance Corporation Conversion Debt Securities
• Institutional Investors
• Isolated Non-Issuer Transactions
• Issuer to Underwriter Transactions
• Judicial Sales
• Limited Offeree
• Managed Trading Accounts
• Manual Exemption
• Merger
• Mortgage Notes
• NASDAQ-NMS Securities
• Non-Corporate Reorganization
• Non-Profit Corporation Debt Securities
• Non-Profit Wisconsin Corporation-Issued Securities
• Offers of Securities Pending Registration
• Offers Using a Preliminary Prospectus
• Pledgee-Executed Transactions
• Preorganization Subscriptions
• Private Placement
• Public Service Corporation-Issued Securities
• Public Utility and Public Utility Holding Company-Issued Securities
• Put and Call Options
• Railroad and Other Common Carrier-Issued Securities
• Reclassification of Securities
• Regulation D-Rule 504
• Regulation D-Rule 505
• Regulation D-Rule 506
• Reorganizations Approved Judicially
• Revenue Bonds
• Rights to Subscribe
• Rule 504-Regulation D
• Rule 505-Regulation D
• Rule 506-Regulation D
• Rule 701 Plans
• Savings Bank-Issued Securities
• Savings Institution-Issued Securities
• Savings and Loan Association-Issued Securities
• Secondary Trading
• Secured Debt
• Securities Exempt by Rule or Order
• Service Corporation-Issued Securities
• Share Exchange
• Sheriff's Sales
• Small Issuer
• Solicitations of Interest
• Stock Option Plans
• Stock Dividends
• Stock Splits
• Stockholders' Class Vote
• Subscription Offer to Existing Security Holders
• Subscription Rights
• Testing the Waters
• Transactions Exempt by Rule or Order
• Underwriter to Issuer transactions
• Unsolicited Orders
• Venture Capital Fairs
• Warrants
• Wisconsin Issuer- Exemption by Filing
• Wisconsin Non-Profit Corporation-Issued Securities

• § 551.22(1)
• § 551.22(2)
• § 551.22(3)
• § 551.22(4)
• § 551.22(5)
• § 551.22(6)
• § 551.22(7)
• § 551.22(8)
• § 551.22(9)
• § 551.22(10)
• § 551.22(11)
• § 551.22(12)
• § 551.22(13)
• § 551.22(14)
• § 551.22(15)
• § 551.22(16)
• § 551.22(17)

• § 551.23(1)
• § 551.23(2)
• § 551.23(3)
• § 551.23(4)
• § 551.23(5)
• § 551.23(6)
• § 551.23(7)
• § 551.23(8)
• § 551.23(9)
• § 551.23(10)
• § 551.23(11)
• § 551.23(12)
• § 551.23(13)
• § 551.23(14)
• § 551.23(15)
• § 551.23(16)
• § 551.23(17)
• § 551.23(18)
• § 551.23(19)

• § 551.29(2)
• § 551.29(3)

§ DFI-Sec, Wis. Adm. Code

References Under

§ 551.23(18), Wis. Stats.

• § 2.02(9)(b)
• § 2.02(9)(c)
• § 2.02(9)(d)
• § 2.02(9)(e)
• § 2.02(9)(f)
• § 2.02(9)(g)
• § 2.02(9)(h)
• § 2.02(9)(j)
• § 2.02(9)k)
• § 2.02(9)(m)
• § 2.027
• § 2.028
• § 2.03(1)(2)(3)
• § 2.04(2)
• § 2.04(3)
• § 2.04(4)