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Issuer to Underwriter Transactions
Underwriter to Issuer Transactions

Statute: § 551.202(10), Wis. Stats.

Used for: Transactions between issuers and underwriters.

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

Frequently asked questions:

Q: Is this exemption self­executing?

    A:  Yes.  No filing or Consent to Service of Process is required.

History :  Predecessor statute 551.23(4), Wis. Stats., adopted on January 1, 1970.  Identical to Uniform Securities Act of 1956 section 402(b)(4). Renumbered effective January 1, 2009.


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