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Wisconsin Administrative Code (Last Updated: January 10, 2017) |
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Agency DFI. Department of Financial Institutions |
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Chapters DFI-Sec1-36. Department of Financial Institutions-Securities |
| Chapter DFI-Sec1. Title And Definitions |
| Chapter DFI-Sec2. Registration Exemptions And Federal Covered Security Notice Filings |
| Chapter DFI-Sec3. Registration Requirements And Procedures |
| Chapter DFI-Sec4. Registration Of Broker-Dealers And Agents |
| Chapter DFI-Sec5. Registration And Notice Filing Procedures For Investment Advisers, Federal Covered Investment Advisers, And Investment Adviser Representatives |
| Chapter DFI-Sec6. Fraudulent Practices |
| Chapter DFI-Sec7. General Provisions |
| Chapter DFI-Sec8. Administrative Procedure |
| Chapter DFI-Sec9. Forms |
| Chapter DFI-Sec10. Use Of Senior-Specific Certifications And Professional Designations |
| Chapter DFI-Sec21. Definitions |
| Chapter DFI-Sec22. Filing Of Ownership Information |
| Chapter DFI-Sec23. Registration Of Take-Over Offers |
| Chapter DFI-Sec24. Exemptions |
| Chapter DFI-Sec25. False Or Misleading Solicitation Materials |
| Chapter DFI-Sec26. Fraudulent And Deceptive Practices |
| Chapter DFI-Sec27. General Provisions |
| Chapter DFI-Sec28. Conformity With Federal Law |
| Chapter DFI-Sec29. Forms |
| Chapter DFI-Sec31. Definitions |
| Chapter DFI-Sec32. Exemption And Registration Of Franchises |
| Chapter DFI-Sec34. Fraudulent And Prohibited Practices |
| Chapter DFI-Sec35. General Provisions |
| Chapter DFI-Sec36. Administrative Procedure |