Chapter DFI-Sec5. Registration And Notice Filing Procedures For Investment Advisers, Federal Covered Investment Advisers, And Investment Adviser Representatives  


Section 5.01. Registration procedure.
Section 5.02. Net worth requirement.
Section 5.03. Investment advisers' records.
Section 5.035. Investment advisors with custody.
Section 5.04. Reporting requirements.
Section 5.05. Practice and advisory contract rules.
Section 5.06. Prohibited conduct.
Section 5.07. Registration and notice filing period.
Section 5.08. Withdrawal of registration.
Section 5.09. Denial, suspension, revocation and censure.
Section 5.10. Electronic filing.
Section 5.11. Federal covered investment adviser notice filing procedure.
Section 5.12. Transition filing.
Section 5.13. Registration exemptions.

History

Cr. Register, December, 1977, No. 264 , eff. 1-1-78; am. (1), Register, December, 1979, No. 288 , eff. 1-1-80; am. (1) and (6), renum. (4) (b) and (c) to be (4) (c) and (d), cr. (4) (b), r. and recr. (5), Register, December, 1980, No. 300 , eff. 1-1-81; am. (3) to (5), Register, December, 1982, No. 324 , eff. 1-1-83; am. (1) and (2), r. and recr. (3) and (4), Register, December, 1983, No. 336 , eff. 1-1-84; am. (3), renum. (4) (g) to be (4) (h), cr. (4) (g), Register, December, 1986, No. 372 , eff. 1-1-87; renum. (3) to be (3) (a) and am., renum. (4) (b) to (h) to be (4) (c) to (i), r. (4) (intro.) and (a), cr. (3) (b), (4) (a) and (b), Register, December, 1987, No. 384 , eff. 1-1-88; renum. (4) (c) to (i) to be (4) (c) 1. to 4., (4) (b) 3. and 4. and (c) 5. and; am. (3), r. and recr. (4), Register, December, 1992, No. 444 , eff. 1-1-93. am. (4) (b) 3. and 4., cr. (4) (c) (intro.), Register, December, 1988, No. 396 , eff. 1-1-89; renum. (4) (a), (c) 1. to 5. to be (4) (a) (intro.) and 2. to 6. and am. (intro.), cr. (4) (a) 1., am. (4) (b) (intro.), r. (4) (c) (intro.), Register, December, 1990, No. 420 , eff. 1-1-91; am. (3), r. and recr. (4), Register, December, 1992, No. 444 , eff. 1-1-93 ; renum. (3) (a) to (3), r. (3) (b), Register, December, 1994, No. 468 , eff. 1-1-95; r. and recr. (3), am. (4) (a) and (5), Register, December, 1995, No. 480 , eff. 1-1-96; am. (1), (3) (intro.), (4) (b), (5) and (7), Register, December, 1998, No. 516 , eff. 1-1-99; r. and recr. (3), am. (4) (a), cr. (4) (d), Register, December, 1999, No. 528 , eff. 1-1-00; emerg. am. (4) (b), cr. (4) (e), eff. 1-1-00; am. (4) (b), cr. (4) (e), Register, May, 2000, No. 533 , eff. 6-1-00; emergency r. and recr. (1) and (2), cr. (8), eff. 1-1-01; CR 01-025 : r. and recr. (1) and (2), cr. (8), Register July 2001, No. 547 eff. 8-1-01; correction in (1) (b) made under s. 13.93 (2m) (b) 7., Stats., Register December 2001 No. 552 ; CR 02-102 : renum. (1) (a) to be (1) (a) 1. and am., renum. (1) (b) to be (1) (b) 1. and am., cr. (1) (a) 2., (1) (b) 2., am. (2) (a), (c) (d) 3. and (e), Register December 2002 No. 564 , eff. 1-1-03; CR 08-077 : am. (title), (2) (a) to (c), (4) (b), (d) (intro.), 5., (5) and (6), r. and recr. (1), (4) (a) and (e), r. (2) (d) 1. and (8), renum. (2) (d) 2. and 3. to be DFI-Sec 5.04 (3) (b) and (c), renum. (3) to be (3) (a) and am. (3) (a) (intro.), cr. (2) (f), (3) (b) and (4) (f) Register December 2008 No. 636 , eff. 1-1-09; corrections in (2) (c), (3) (a) (intro.) and (4) (e) made under s. 13.92 (4) (b) 6. and 7., Stats., Register December 2008 No. 636 ; CR 09-056 : am. (4) (a) and (b) Register December 2009 No. 648 , eff. 1-1-10; CR 10-062 : cr. (2) (f) 3., r. and recr. (4) (a) Register September 2010 No. 657 , eff. 10-1-10 .