Forms
Uniform Application
to Register Securities (U-1) (PDF:
10 KB / 3 pages) – One of the required forms used when filing
a securities registration application in Wisconsin. - Uniform
Consent to Service of Process (U-2) – One of the required forms
used when filing a securities registration application in Wisconsin.
This form should designate "Administrator, Division of Securities"
in Wisconsin to receive notice, process, or pleading.
- Uniform
Form of Corporate Resolution (U-2A) – One of the required forms
used when a corporation files a securities registration application
in Wisconsin.
- Small Company Offering
Registration (U-7) – A question and answer form of prospectus
that meets the disclosure requirements mandated by the Wisconsin Securities
Law. 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 pages)
– The required form if using section DFI-Sec 2.027, Wis. Adm. Code.
(It is also included in the "Testing
the Waters" brochure, which also provides instructions on how
to use Form SOI.)
- Midwest
Regional Review Program Application – One of the required forms
for filing a securities registration application under the Midwest
Regional Review Program in Wisconsin and one or more of the other
Program member states.
- Form
D – A federal form required to be submitted with either
a Regulation D Rule 506 federal covered security filing under
sec. 551.302(3), Wis. Stats., or a Rule 505 filing under rule DFI-Sec
2.029, Wis. Adm. Code.
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.
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