Wisconsin Legislature
CR 02-102
AN ORDER to repeal DFI-Sec 4.04 (3), 5.04 (7) and (8), 5.05 (14) and 9.01 (1) (b) 7. and 8.; to renumber DFI-Sec 4.04 (4) to (9), 4.05 (7) to (12), 5.07 (2) and 9.01 (1) (b) 9. to 17.; to renumber and amend DFI-Sec 4.04 (3) (a), 5.01 (1) (a) and (b) and 5.07 (2); to amend DFI-Sec 3.03 (4) (h), 4.05 (8) (L), 4.06 (1) (d), 4.085, 4.10 (4) (b), 5.01 (2) (a), (c), (d) 3., and (e), 5.07 (1), 5.08 (2), 5.10, 5.11 (3) and 5.12 (4); to repeal and recreate DFI-Sec 4.07 (2); and to create DFI-Sec 3.03 (4) (o) to (q), 5.01 (1) (a) 2. and (b) 2. and 5.07 (2) (b), relating to securities broker-dealer, agent, investment adviser and investment adviser representative license-filing procedures, license period provisions, and securities registration disclosure requirements.
Submitted by DEPARTMENT OF FINANCIAL INSTITUTIONS
Important Actions (newest first)
| Date / House |
Action |
Journal |
| 1/10/2003 Sen. | Effective date 1-1-2003 | 19 |
| 10/28/2002 Sen. | No action taken | 825 |
| 9/27/2002 Asm. | No action taken. | |
History
| Date |
Action |
Journal |
| 7/10/2002 | Received by Legislative Council. | |
| 7/29/2002 | Report sent to Agency. | |
Assembly Actions
| Date / House |
Action |
Journal |
| 8/21/2002 Asm. | Report received from Agency | 924 |
| 8/28/2002 Asm. | Referred to committee on Financial Institutions | 924 |
| 9/27/2002 Asm. | No action taken. | |
Senate Actions
| Date / House |
Action |
Journal |
| 8/21/2002 Sen. | Report received from Agency | 790 |
| 8/28/2002 Sen. | Referred to committee on Privacy, Electronic Commerce and Financial Institutions | 790 |
| 10/28/2002 Sen. | No action taken | 825 |
| 1/10/2003 Sen. | Effective date 1-1-2003 | 19 |
/2003/chr/cr_02_102
