Register September 2010 No. 657
Chapter DFI-Sec 7
GENERAL PROVISIONS
DFI-Sec 7.02 Advertising.
DFI-Sec 7.03 Civil liabilities.
DFI-Sec 7.04 Annual reports.
DFI-Sec 7.05 Files and records.
DFI-Sec 7.06 Financial statements.
Ch. DFI-Sec 7 Note
Note: Renumbered from SEC 6,
Register, December, 1977. Chapter SEC 7 was renumbered Chapter DFI-Sec 7 under s. 13.93 (2m) (b) 1., Stats., and corrections made under s. 13.93 (2m) (b) 6. and 7., Stats.,
Register, December, 1996, No. 492; Corrections made under s. 13.93 (2m) (b) 6., Stats.,
Register January 2004 No. 577.
DFI-Sec 7.01
DFI-Sec 7.01 Fees. The following fees payable in U.S. dollars, prescribed for the examination of various matters arising under
ch. 551, Stats., are chargeable to the applicant or registrant, and are payable, unless otherwise provided by the division, at the time an application or notice is filed:
DFI-Sec 7.01(1)(a)(a) Application for post-effective amendment of a registration statement
$200.
DFI-Sec 7.01(1)(b)
(b) Application for extension of effectiveness of a registration statement
$200.
DFI-Sec 7.01(2)
(2) Securities registration exemption and federal regulation d matters. DFI-Sec 7.01(2)(c)
(c) Application for an opinion confirming a securities registration exemption or an exclusion from a definition
$500.
DFI-Sec 7.01(3)
(3) Broker-dealer and investment adviser registration matters. DFI-Sec 7.01(3)(c)
(c) Field examination of applicant for initial registration as broker-dealer or investment adviser under s.
551.411 (4), Stats.
$100 per day per examiner plus, if the examination is conducted outside of Wisconsin, each of the following costs incurred:
DFI-Sec 7.01(3)(c)2.
2. Ground transportation costs that on a per day basis may not exceed the daily rate charged by a national car rental agency in that locale for a compact-sized car; and
DFI-Sec 7.01(3)(c)3.
3. If the examination involves any overnight stay, hotel and meal costs not to exceed the per diem amounts prescribed for state agency reimbursement purposes by the office of state employment relations at the time the examination is made.
DFI-Sec 7.01(3)(d)
(d) Periodic examination of a broker-dealer or investment adviser under s.
551.411 (4), Stats.
$100 per day per
examiner plus, if the examination is conducted outside of Wisconsin, each of the following costs incurred:
DFI-Sec 7.01(3)(d)2.
2. Ground transportation costs that are on a per day basis may not exceed the daily rate charged by a national car rental agency in that locale for a compact-sized car; and
DFI-Sec 7.01(3)(d)3.
3. If the examination involves any overnight stay, hotel and meal costs not to exceed the per diem amounts prescribed for state agency reimbursement purposes by the office of state employment relations at the time the examination is made.
DFI-Sec 7.01(5)(a)(a) Issuance of a certificate under s.
551.606 (3), Stats., relating to the existence or non-existence of documents or entries on file or contained in the records of the division's office
$50 plus $1 per page for copies included with the certificate.
$200.
DFI-Sec 7.01(5)(d)
(d) Small corporate offering registration and prospectus disclosure form on printed Form U-7 or on 3.5 computer diskette, IBM compatible, running Word Perfect 5.0 software with a minimum of 720K capacity
$5.
DFI-Sec 7.01(6)(a)(a) Delinquent filing of broker-dealer or investment adviser registration renewal application or federal covered investment adviser renewal notice filing
$100.
DFI-Sec 7.01(6)(b)
(b) Delinquent filing of any material amendment required to be filed under
ch. DFI-Sec 4 or
5 to a broker-dealer or investment adviser registration
$100.
DFI-Sec 7.01(6)(c)
(c) Delinquent filing of broker-dealer annual financial statements
$100.
DFI-Sec 7.01(6)(d)
(d) Delinquent filing of notice of broker-dealer, investment adviser or federal covered investment adviser branch office opening, renewal, relocation or closing
$100.
DFI-Sec 7.01(6)(e)
(e) Delinquent filing of agent or investment adviser representative termination notice on Form U-5
$100.
DFI-Sec 7.01(6)(f)
(f) Delinquent filing of broker-dealer agent, agent for issuer or investment adviser representative registration renewal
$100.
DFI-Sec 7.01(6)(g)
(g) Delinquent filing of change of broker-dealer or investment adviser designated supervisor
$100.
DFI-Sec 7.01(6)(h)
(h) Delinquent filing of investment company report of sales on Form RS-IC
$100.
DFI-Sec 7.01(6)(i)
(i) The division may by order require the payment of a fee of no more than $200 for delinquent or materially deficient filings of information or documents required to be filed in connection with the examination of any matter under
chs. DFI-Sec 2 to
6.
DFI-Sec 7.01(8)(a)(a) Writing a computer program for the purpose of creating a report
$20.
DFI-Sec 7.01(8)(b)
(b) Hard copy printout of report
$25 for the first 100 pages of printed report or portion thereof, and $0.25 per page beyond 100 pages.
DFI-Sec 7.01(8)(c)
(c) Copy of report in text format on 3.5 inch, high-density floppy disk
$5 per disk
DFI-Sec 7.01(8)(d)
(d) Processing of a request for a list of agents from the central registration depository
$25 plus accessing costs to the central registration depository.
DFI-Sec 7.01 History
History: Cr.
Register, December, 1969, No. 168, eff. 1-1-70; r. and recr.
Register, August, 1972, No. 200, eff. 9-1-72; emerg. cr. (1) (g), eff. 6-16-74; emerg. am. (1) (a) and (b), eff. 7-5-74; am. (1) (a) and (b), cr. (1) (g) and (h),
Register, October, 1974, No. 226, eff. 11-1-74; r. and recr.
Register, December, 1977, No. 264, eff. 1-1-78; emerg. cr. (8), eff. 6-19-78; am. (2) (b) and cr. (8),
Register, September, 1978, No. 273, eff. 10-1-78; am. (2) (a) and (b),
Register, December, 1979, No. 288, eff. 1-1-80; am. (2) (b) and (d), r. (2) (f), renum. (2) (g) to be (2) (f), am. (3) (a), r. (3) (c), renum. (3) (d) to (f) to be (3) (c) to (e) and am., r. and recr. (7),
Register, December, 1980, No. 300, eff. 1-1-81; am. (2) (d), renum. (7) and (8) to be (8) and (9), cr. (7),
Register, December, 1981, No. 312, eff. 1-1-82; emerg. am. (2) (f), eff. 5-1-82; am. (2) (f),
Register, September, 1982, No. 321, eff. 10-1-82; am. (1) (c), (2) (a) and (e), (3) (b) and (5) (b), r. (7), renum. (8) to be (7),
Register, December, 1982, No. 324, eff. 1-1-83; cr. (2) (g),
Register, August, 1983, No. 332, eff. 9-1-83; am. (3) (e),
Register, December, 1983, No. 336, eff. 1-1-84; emerg. am. (2) (e) and r. (2) (g), eff. 1-1-84; am. (2) (e) and r. (2) (g),
Register, May, 1984, No. 341, eff. 6-1-84; am. (4) (d) and r. (9),
Register, December, 1984, No. 348, eff. 7-1-85; am. (2) (c) and (d), (5) (b),
Register, December, 1985, No. 360, eff. 1-1-86; am. (1) (c), (2) (e) and (f), (3) (d) and (e),
Register, December, 1986, No. 372, eff. 1-1-87; r. and recr. (1) (intro.), (a) and (b), (2), (3) (a) to (c), (4) to (7),
Register, December, 1988, No. 396, eff. 1-1-89; renum. (7) (f) to be (7) (i), cr. (5) (d), (7) (f) to (h) and (8), am. (7) (a) to (c) and (e), r. and recr. (7) (d),
Register, December, 1989, No. 408, eff. 1-1-90; r. and recr. (5) (a), cr. (5) (e),
Register, December, 1990, No. 420, eff. 1-1-91; am. (5) (d) and (7) (d),
Register, December, 1991, No. 432, eff. 1-1-92; am. (5) (d),
Register, December, 1992, No. 444, eff. 1-1-93; am. (intro.), (4) (b), (7) (b), r. (3) (c), renum. (3) (d) and (e) to be (c) and (d), cr. (9) (a), (b), (c),
Register, December, 1994, No. 468, eff. 1-1-95;
am. (7) (c) and (e), r. and recr. (9),
Register, December, 1995, No. 480, eff. 1-1-96; corrections in (4) (c) made under s. 13.93 (2m) (b) 7., Stats.,
Register, March, 1997, No. 495; r. (6),
Register, April, 1998, No. 508, eff. 5-1-98; am. (6) (a), (d) and (f),
Register, December, 1998, No. 516, eff. 1-1-99; corrections made under s. 13.93 (2m) (b) 1., Stats.,
Register, December, 1998, No. 516; correction in (4) (c) made under s. 13.93 (2m) (b) 7., Stats.,
Register, August, 1999, No. 524;
CR 01-082: renum. (4) (c) to be (1) (d),
Register December 2001 No. 552, eff. 1-1-02;
CR 08-077: am. (intro.), (1) (title), (2) (title), (a), (b), (3) (title), (a) to (c) (intro.), (d) (intro.), (4) (a), (b), (5) (a), (b), (6) (a), (b), (d) and (f), r. (1) (c) and (7), cr. (2) (d)
Register December 2008 No. 636, eff. 1-1-09;
CR 09-056: am. (2) (title) and (c)
Register December 2009 No. 648, eff. 1-1-10;
CR 10-062: am. (3) (a) Register September 2010 No. 657, eff. 10-1-10.
