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-Sec3. Registration Requirements And Procedures |
Section 3.01. Registration by coordination.
Latest version.
- A registration statement under s. 551.303 , Stats., shall be submitted on Form U-1, shall contain the following information and be accompanied by the following documents in addition to the information specified in ss. 551.303 (2) and 551.305 , Stats.:(1)(a) If the security to be registered is a note, bond, debenture or other evidence of indebtedness, a trust indenture meeting the requirements of s. DFI-Sec 3.04 , unless the requirement to furnish a trust indenture relating to the securities is waived by the division for good cause shown; and(b) Any other information or copies of any documents required to be filed under form U-1.(2) In any offering for which a registration statement on U.S. securities and exchange commission Form F-7, F-8, F-9 or F-10 has been filed by coordination with the division, the requirement in s. 551.303 (3) (b) , Stats., that a registration statement be on file with the division for at least 10 days is reduced to a requirement that the registration statement be on file with the division for at least 7 days.