DFI Open Records
Before you request public records from the Department of Financial Institutions, please read the following:
Much of the information DFI holds is publicly available on our website and does not require an Open Records request (e.g. corporate records, UCC filings, trademarks, securities registrations, franchise registrations, notaries public commissions, charitable organizations, etc.) These areas are readily available and accessible from our home page. Simply expand the "I Want to Search" menu on the left side of our home page and choose your area of interest.
Time for Responding
Generally, small and straightforward requests will be completed within 10 business days of receipt whenever it is practicable to do so. If requesting an update on the status of a records request, the department will respond within 5 business days.
DFI may charge the actual, necessary and direct cost of producing a record. Wis. Stat. sec. 19.35(3)(a). When the request calls for a copy of the record, and the record can be photocopied, a standard fee of $0.15 per printed page will be assessed. If paper records are converted to an electronic form, a fee of $.07 per page will be assessed. Likewise, the standard fee for a burned compact disc (CD) is $1.00 per disc. If the requested records already exist in an electronic format and electronic copies are provided, costs will not be charged on a per-page basis, but if the record is not in readily comprehensible form, DFI may charge the actual cost of creating a readily comprehensible copy. DFI may charge the actual, necessary and direct transcription costs. DFI will not charge for the cost of reviewing records for possible redaction or removal of confidential information.
DFI may charge the actual, necessary and direct cost of locating the records if it exceeds $50. Any staff time necessary for locating records will be billed at the hourly rate of $30. If the records are mailed to the requester, DFI may charge the actual, necessary and direct shipping costs.
The above fees apply except where a different fee is authorized by law. Pre-payment of fees may be required if the total costs are greater than $5. Fees totaling less than $5 may be waived the discretion of the department.
A request must reasonably describe the records sought; e.g., specific documents concerning a specific entity or industry.
The department does not release examinations, examination information or reports filed by a bank or licensee with the department.
The department does not release facts and information obtained in the course of examinations or contained in any report provided by a credit union other than a semiannual or quarterly financial report that is regularly filed with the office of credit unions.
Regarding the division of securities, the following records are not public records and are not available for public examination, pursuant to s. 551.607, Stats.:
- Information and records obtained by the administrator in connection with an audit or inspection under s. 551.411 (4) or a pending investigation under s. 551.602.
- A part of a record filed in connection with a registration statement under ss. 551.301 and 551.303 to 551.305 or a record under s. 551.411 (4) that contains trade secrets or confidential information if the person filing the registration statement or record has asserted a claim of confidentiality or privilege that is authorized by law.
- A record that is not required to be provided to the administrator or filed under this chapter and is provided to the administrator only on the condition that the record will not be subject to public examination or disclosure.
- A nonpublic record received from a person specified in s. 551.608 (1).
- Subject to s. 551.406 (6) (a), any social security number, residential address unless used as a business address, and residential telephone number unless used as a business telephone number, contained in a record that is filed.
- A record obtained by the administrator through a designee of the administrator that a rule or order under this chapter determines has been appropriately expunged from the administrator's records by the designee.
- Any information or record received under s. 551.202 (26) (k) relating to payments for securities, the copy of the disclosure statement provided to the administrator under s. 551.202 (26) (f) 2., and any information or record obtained by the division under s. 551.205 (1) (c).
Personnel records, with limited exceptions, shall not be provided, including information regarding personal matters (e.g., home address, social security number), current investigations, employment examinations and staff management planning.
Department records subject to an attorney-client privilege or deemed attorney work product will not be released.
Information redacted from records includes, but may not be limited to, names of any debtor of any bank or licensee, an individual's birth date, social security numbers, personal health and medical information, federal employment identification numbers and account numbers.
Law Enforcement, or Local, State or Federal Agencies Requesting Records
For any and all requests from law enforcement, or local, state or federal agencies regarding any department record or filing, including corporate and UCC filings, send your request to DFIOpenRecords@wisconsin.gov.
Records available to download free or to purchase from the department
The following records are available to download free from the department's website or to purchase from the department. These records are not obtainable pursuant to an open records request.
For copies of corporate filings, Click Here.
For a compilation or list of corporate filings, Click Here.
For an index or images of all active UCC filings, Click Here.
For securities registrant lists, Click Here.
For a list of all active franchise registrations, Click Here.
For franchise filing details and disclosure documents, Click Here.
Information Not on Record
The department is not required to create a new record by extracting and compiling information from existing records into a new format or record.
When requested and whenever practical, the department will provide electronic copies of records that already exist in an electronic format.
E-mail Your Request
To submit your request for Public Records, e-mail DFIOpenRecords@wisconsin.gov.