Chapter DFI-Sec 3

REGISTRATION REQUIREMENTS AND PROCEDURES

DFI-Sec 3.01   Registration by coordination.

DFI-Sec 3.02   Registration by qualification.

DFI-Sec 3.03   Prospectus requirements.

DFI-Sec 3.04   Trust indenture requirements.

DFI-Sec 3.05   Registration proceedings.

DFI-Sec 3.06   Amendment of registration statements.

DFI-Sec 3.07   Extension of registration statements.

DFI-Sec 3.08   Periodic reports.

Ch. DFI-Sec 3 Note Note: Chapter SEC 3 was renumbered chapter DFI-Sec 3 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.

DFI-Sec 3.01 DFI-Sec 3.01 Registration by coordination. 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.:

DFI-Sec 3.01(1) (1) 

DFI-Sec 3.01(1)(a) (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