Securities Forms and Applications
Form Groups on this Page:
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
(external link)
Form NF
(PDF: 18 KB / 3 pages)
Registration of Securities Professionals 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: 168 KB / 4 pages) -- Includes Form BDAA plus instructions.
Form BDAA
(PDF: 127 KB / 1 page) -- Wisconsin Broker-Dealer Activity of Applicant
IA
Packet (PDF: 1,821 KB / 8 pages) -- All of the following four forms plus instructions.
Form IAAA
(PDF: 224 KB / 1 page) -- Wisconsin Investment Advisory Acitivity of Applicant
Form IADS
(PDF: 179 KB / 1 page) -- Investment Adviser Designation of Supervisor
Form IAFC
(PDF: 153 KB / 1 page) -- Financial Certification
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, 2009. 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.