Securities Forms and Applications
Form Groups on this Page:
- Wisconsin Crowdfunding Forms
- Securities Registration Forms
- Registration of Securities Professionals Forms
- Franchise Filing
For printable PDF forms to submit by mail, send an E-mail to DFISecurities@wisconsin.gov
Uniform Application to Register Securities (U-1) (PDF: 10 KB / 3 pages)
Uniform Consent to Service of Process (U-2) NASAA (North American Securities Administrators Association) Uniform Forms (external link)
Uniform Form of Corporate Resolution (U-2A) NASAA (North American Securities Administrators Association) Uniform Forms.
Small Corporate Offering Registration (U-7) NASAA (North American Securities Administrators Association) Uniform Forms.
Solicitations of Interest (SOI) (PDF: 479 KB / 1 page)
Form D (external link)
Electronic Filing Depository (external link)
Form NF (PDF: 18 KB / 3 pages)
BD Packet (PDF: 168 KB / 4 pages) -- Includes Form BDAA plus instructions.
Form BD (PDF: external link)
Form BDAA (PDF: 127 KB / 1 page) -- Wisconsin Broker-Dealer Activity of Applicant
Form BDW (PDF: external link)
Form U-4 (PDF: external link)
Form U-5 (PDF: external link)
Wisconsin Agent for Issuer U4 Supplemental Information (U-4S) (PDF: 46 KB / 1 page)
IA Packet (PDF: 126 KB / 9 pages) -- All of the following four forms plus instructions.
New Part 1A and 1B of Form ADV (PDF: external link)
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 ADV-H (PDF: external link)
Form ADV-E (PDF: external link)
Form ADV-W (PDF external link)
Form ASIM (PDF: 70 KB / 2 pages) -- Securites Agent Simultaneous Registration Disclosure Application
NOTE: The forms and summaries of the requirements of the Wisconsin Uniform Securities Law, the Wisconsin Franchise Investment Law, and the corresponding sections of the Wisconsin Administrative Code are for informational purposes only, and the statutes and rules may be revised at a later date. The division cannot and does not provide legal or financial advice, and consideration should be given to seeking professional advice before making an offering of securities or selling a franchise in Wisconsin.