State-Specific Information

Wisconsin

• You must file in at least two of the ten states to qualify for Midwest Regional Review.
• Once the initial application has been received, you may not add other states to that application.
• Once the initial application has been received, you may file for Midwest Regional Review in at least two additional states, but will be subject to a new coordinated review.

To Other State Information Pages

• ILLINOIS
• INDIANA
• IOWA
• KANSAS
• MICHIGAN
• MISSOURI
• NEBRASKA
• NORTH DAKOTA
• SOUTH DAKOTA

General Information

• INTRODUCTION
• APPLICATION
• EXHIBITS
• SCOR STATEMENT OF POLICY

Midwest Regional Review Program Home Page

Address:

PO Box 1768
Madison, WI 53701-1768

Contact: Marjorie Sandee, Securities Examiner, Bureau of Registration & Enforcement

Telephone Number: (608) 266-3364

E-mail: marjorie.sandee@dfi.state.wi.us

Fax Number: (608) 264-7979

Website Address: http://www.wdfi.org

Checks Payable To: DFI

Rule 504 Filing Fees: $750

Reg A Filing Fees: $750

Agent Issuer Fees and Filing and Testing Requirements: $30 per agent, U-4, WI supplement to U-4, and supervisory under-taking. Exams: Series 2, 7 or 62 + 63 or 66. Required only if individual is paid, directly or indirectly, for soliciting any person in Wisconsin. If you are interested in receiving any licensing forms, please call our Licensing & Compliance Bureau at (608) 266-3693.

Post-Effective Filing That Requires Fee: Advertising $10 per item (only if filed after registration is effective)

The Law:

• Wisconsin Uniform Securities Law (Statutes)
• Wisconsin Administrative Code (Regulations)