WISCONSIN UNIFORM SECURITIES LAW
References to federal statutes.
References to federal agencies.
Electronic records and signatures.
EXEMPTIONS FROM REGISTRATION
Additional exemptions and waivers.
Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.
REGISTRATION OF SECURITIES AND
NOTICE FILING OF FEDERAL COVERED SECURITIES
Securities registration requirement.
Securities registration by coordination.
Securities registration by qualification.
Securities registration filings.
Denial, suspension, and revocation of securities registration.
Waiver and modification.
INVESTMENT ADVISERS, INVESTMENT
ADVISER REPRESENTATIVES, AND
FEDERAL COVERED INVESTMENT ADVISERS
Broker-dealer registration requirement and exemptions.
Agent registration requirement and exemptions.
Investment adviser registration requirement and exemptions.
Investment adviser representative registration requirement and exemptions.
Federal covered investment adviser notice filing requirement.
Registration by broker-dealer, agent, investment adviser, and investment adviser representative.
Succession and change in registration of broker-dealer or investment adviser.
Termination of employment or association of agent and investment adviser representative and transfer of employment or association.
Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration.
FRAUD AND LIABILITIES
Prohibited conduct in providing investment advice.
Filing of sales and advertising literature.
Misrepresentations concerning registration or exemption.
ADMINISTRATION AND JUDICIAL
Investigations and subpoenas.
Rules, forms, orders, interpretative opinions, and hearings.
Administrative files and opinions.
Public records; confidentiality.
Uniformity and cooperation with other agencies.