Registering Securities in Wisconsin
Securities Registration Forms
The forms listed below may be downloaded for your use when filing a registration application:
- U-1 (PDF: 10 KB / 3 pages) (Uniform Application to Register Securities)...Form used to file a registration application.
- U-2 (Uniform Consent to Service of Process)...Form appoints "Administrator, Division of Securities" in Wisconsin to receive notice, process or pleading.
- U-2A (Uniform Form of Corporate Resolution)...Form to be used only if a corporation is making the registration filing.
- Midwest Regional Review Application ...Form to be used in addition to the forms listed above for an issuer that wants to file for coordinated review of its equity offering in any or all of the states of Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, Nebraska, North Dakota, South Dakota and Wisconsin.
The SCOR (Small Company Offering Registration) Form (or Form U-7) is available for downloading from the North American Securities Administrators Association ("NASAA") website, or from the Division on diskette or on paper at a prepaid price of $5. It is a question and answer form of prospectus that meets the disclosure requirements under the Wisconsin Uniform Securities Law, regardless of the registration or exemption section under which the offering is filed. The traditional narrative form of prospectus may also be used. The Division may be able to provide samples of previously filed documents for you to review when you are ready to prepare your disclosure documents.