Press Releases

For Immediate Release
July 1, 2010


Divison of Securities Launches Branch Office Online Filing for Federal-Covered Advisers

The Department of Financial Institutions Division of Securities is proud to announce that it has developed a new web-based application which will allow federal covered investment advisers to file Wisconsin branch office opening notices and pay the notice filing fees online. The Branch Office Online filing process provides a simple way for federal covered advisers to submit payment of the branch office filing fee using a credit card. This system will eliminate the need to forward copies of Form BR or other paper documents related to a branch office filing and to have checks cut and mailed to our office.

Using the new Branch Office Online application will also eliminate mailing delays so the firm will be subject to fewer late filing fees. Using the Branch Office Online application not only gets your filing submitted more quickly than via the mail, but it will save you having to request separate checks as well as the costs associated with mailing the materials.

This filing system is for federal covered investment advisers only. Broker-dealers and state registered investment advisers will continue to make all branch office filings via CRD.

Read the full announcement here