Secondary Trading Exemptions
Isolated Non-Issuer Transactions § 551.202(1), Wis. Stats.
Manual Exemption § 551.202(2), Wis. Stats.
Foreign Issuer Margin Security Exemption § 551.202(3), Wis. Stats.
Debt Securities Rated in Top 4 Rating Categories § 551.202(5), Wis Stats.
Toronto Stock Exchange and TSX Venture Exchange Listed Securities
Secondary Trading Exemption by Filing Rule DFI-Sec 2.02(9)(o) under § 551.203, Wis. Stats.
Unsolicited Orders § 551.202(6), Wis. Stats.