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 Wisconsin Administrative Code (Last Updated: January 10, 2017)
 Agency DFI. Department of Financial Institutions
 Chapters DFI-Sec1-36. Department of Financial Institutions-Securities
 Chapter DFI-Sec7. General Provisions

  Section 7.02. Advertising.  

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    (1)  The advertising materials listed in s. 551.504 (1) , Stats., that are particularized in any of the following paragraphs and that are intended to be used in connection with the offer or sale of a security in this state are required to be included with the filings made under the respective statute or rule cited:
    (a) Any sales literature, pamphlet, form letter or other advertising record, other than a prospectus, to be used in an offering for which a registration statement has been filed under s. 551.303 or 551.304 , Stats.
    (b) Any sales literature, pamphlet, form letter or other advertising record, other than a prospectus or offering circular, to be used in an offering for which a notice filing has been made for purposes of use of the registration exemption in s. 551.201 (7) , Stats., and rules thereunder.
    (c) A circular, form letter, or other advertising record to be used in connection with a going-private transaction that is subject to the filing requirement in s. DFI-Sec 6.05 (1) (b) .
    (2)  Advertising filed under sub. (1) shall include any fee applicable under s. DFI-Sec 7.01 (4) .
History: Cr. Register, December, 1969, No. 168 , eff. 1-1-70; am. (1) (a) and (b), Register, August, 1972, No. 200 , eff. 9-1-72; emerg. am. (1) (b) and (e), eff. 11-4-75; am (1) (b), and (e), Register, February, 1976, No. 242 , eff. 3-1-76; am. Register, December, 1977, No. 264 , eff. 1-1-78; am. (1) (b), Register, September, 1978, No. 273 , eff. 10-1-78; am. (1) (a), Register, December, 1980, No. 300 , eff. 1-1-81; am. (2), Register, December, 1981, No. 312 , eff. 1-1-82; am. (1) (d), Register, December, 1983 . No. 336, eff. 1-1-84; am. (1) (b), Register, March, 1986, No. 363 , eff. 4-1-86; am. (1) (a), Register, December, 1990, No. 420 , eff. 1-1-91; am. (1) (b), Register, December, 1992, No. 444 , eff. 1-1-93; am. (1) (b), Register, December, 2000, No. 540 , eff. 1-1-01; CR 01-083 : am. (1) (b), Register December 2001 No. 552 , eff. 1-1-02; CR 08-077 : r. and recr. Register December 2008 No. 636 , eff. 1-1-09.