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Employee Benefit or Stock Option Plans Qualified as "Rule 701 Plans"
Rule 701 Plans

Statute:  ยง 551.202(21), Wis. Stats.

Administrative Code: None

Used for:  Offers or sales of a security by an issuer pursuant to employee benefit plans, including stock option plans, including plans that qualify for use of the registration exemption under Rule 230.701 under section 3(b) of the Securities Act of 1933.

Filing requirement: Self-Executing. No filing or Consent to Service of Process is necessary in order to claim this exemption.

History: Predecessor rule in DFI-Sec 2.029(9)(m), Wis. Admin. Code, under 551.23(18), Wis. Stats., adopted January 1, 1989. Superseded by 551.202(21), effective January 1, 2009.


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