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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 |
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Chapter DFI-Sec2. Registration Exemptions And Federal Covered Security Notice Filings |
Section 2.03. Exemption proceedings.
Latest version.
- (1) If a notice is required to be filed in order to seek to claim registration exemption status pursuant to s. 551.201 , 551.202 , Stats., or rule or order under s. 551.203 , Stats., the notice shall consist of a copy of any prospectus, circular or other material to be delivered to offerees, the fee prescribed by s. DFI-Sec 7.01 (2) , and a cover letter describing how the offering will meet all the requirements for use of the exemption sought to be utilized.(2) If any information is reasonably required by the division prior to the effective date of an exemption, in connection with the examination of any notice filed pursuant to s. 551.201 , 551.202 , Stats., or rule or order under s. 551.203 , Stats., the notice is not deemed filed until the information so required is filed with the division.
Cr.
Register, December, 1969, No. 168
, eff. 1-1-70; r. and recr.
Register, August, 1972, No. 200
, eff. 9-1-72; am. (1),
Register, December, 1977, No. 264
, eff. 1-1-78; r. and recr. (1),
Register, December, 1981, No. 312
, eff. 1-1-82; am. (1),
Register, December, 1982, No. 324
, eff. 1-1-83; am. (1),
Register, December, 1991, No. 432
, eff. 1-1-92;
CR 08-077
: am.
Register December 2008 No. 636
, eff. 1-1-09.