Applications

2008 Licensing Renewal Forms

Securities Registration Forms

Securities Licensing Forms

Franchising Forms

2008 Licensing Renewal Forms

  FA Renewal: Federal Covered Adviser Notice Filing Renewal (PDF: 41 KB / 2 pages)

  IA Renewal: State Adviser License Renewal (PDF: 40 KB / 2 pages)

  BDRL: Limited Securities Agent Renewal (PDF: 297 KB / 2 pages)

  NonFINRA: Non-FINRA Broker-dealer and Agent Renewal (PDF: 637 KB / 4 pages)

Securities Registration Forms

  Wisconsin Agent for Issuer U4 Supplemental Information (U-4S) (PDF: 46 KB / 1 page)

  Uniform Application to Register Securities (U-1) (PDF: 10 KB / 3 pages)

Uniform Consent to Service of Process (U-2)

Uniform Form of Corporate Resolution (U-2A)

Small Corporate Offering Registration (U-7) This link will take you to the NASAA (North American Securities Administrators Association) Help for Small Business page.

  Solicitations of Interest (SOI) (PDF: 5 KB / 1 page) 

Midwest Regional Review Program Application

Form D

  Form NF (PDF: 18 KB / 3 pages)

Securities Licensing Forms

  Form BD (PDF: external link)

  Form BDW (PDF: external link)

  Form U-4 (PDF: external link)

  Form U-5 (PDF: external link)

  BD Packet (PDF: 45 KB / 3 pages) --  Includes Form BDAA plus instructions.

  Form BDAA (PDF: 43 KB / 1 page) -- Wisconsin Broker-Dealer Activity of Applicant

  IA Packet (PDF: 105 KB / 10 pages) -- All of the following four forms plus instructions.

  Form IAAA (PDF: 37 KB / 1 page) -- Wisconsin Investment Advisory Acitivity of Applicant

  Form IADS (PDF: 33 KB / 1 page) -- Investment Adviser Designation of Supervisor

  Form IAFC (PDF: 29 KB / 1 page) -- Financial Certification

  Form IAUSR (PDF: 39 KB / 2 pages) -- Investment Adviser Understanding of Supervisor Responsibilities Regarding Wisconsin Uniform Securities Law and Administrative Code

  Form ASIM (PDF: 70 KB / 2 pages) -- Securites Agent Simultaneous Licensure Disclosure Application

  New Part 1A and 1B of Form ADV  (PDF: external link)

  Form ADV-H (PDF: external link)

  Form ADV-E (PDF: external link)

  Form ADV-W (PDF external link)

Franchising Forms

  Uniform Franchise Registration Application (Adapted for Wisconsin Registrations)  (PDF: 4 KB / 1 page)

  Franchise Consent to Service of Process (PDF: 8 KB / 2 pages)

Wisconsin State Information Form - An outline summary of information needed to make a franchise filing in Wisconsin.

NOTE: Information at this site reflects the requirements of the Wisconsin Uniform Securities Law, the Wisconsin Franchise Investment Law and corresponding sections of the Wisconsin Administrative Code as of January 1, 1998. Remember that the laws and rules may be revised at a later date. Because the assistance we provide cannot and does not involve giving "legal advice," consideration should be given to seeking professional advice (e.g., legal, financial) before making an offering of securities.