Securities Forms and Applications
Form Groups on this Page:
Uniform Application to Register Securities (U-1) (PDF: 10 KB / 3 pages)
Uniform Consent to Service of Process (U-2) NASAA (North American Securities Administrators Association) Uniform Forms (external link)
Uniform Form of Corporate Resolution (U-2A) NASAA (North American Securities Administrators Association) Uniform Forms.
Small Corporate Offering Registration (U-7) NASAA (North American Securities Administrators Association) Uniform Forms.
Solicitations of Interest (SOI) (PDF: 5 KB / 1 page)
Form D (external link)
Form NF (PDF: 18 KB / 3 pages)
BD Packet (PDF: 168 KB / 4 pages) -- Includes Form BDAA plus instructions.
Form BD (PDF: external link)
Form BDAA (PDF: 127 KB / 1 page) -- Wisconsin Broker-Dealer Activity of Applicant
Form BDW (PDF: external link)
Form U-4 (PDF: external link)
Form U-5 (PDF: external link)
Wisconsin Agent for Issuer U4 Supplemental Information (U-4S) (PDF: 46 KB / 1 page)
IA Packet (PDF: 126 KB / 9 pages) -- All of the following four forms plus instructions.
New Part 1A and 1B of Form ADV (PDF: external link)
Form IAAA (PDF: 224 KB / 1 page) -- Wisconsin Investment Advisory Acitivity of Applicant
Form IADS (PDF: 179 KB / 1 page) -- Investment Adviser Designation of Supervisor
Form IAFC (PDF: 153 KB / 1 page) -- Financial Certification
Form ADV-H (PDF: external link)
Form ADV-E (PDF: external link)
Form ADV-W (PDF external link)
Form ASIM (PDF: 70 KB / 2 pages) -- Securites Agent Simultaneous Registration Disclosure Application
Uniform Franchise Registration Application. (PDF: external link)
Franchise Consent to Service of Process (PDF: 8 KB / 2 pages)
Wisconsin State Information Form - An outline summary of information needed to make a franchise filing in Wisconsin.
NOTE: Information at this site reflects the requirements of the Wisconsin Uniform Securities Law, the Wisconsin Franchise Investment Law and corresponding sections of the Wisconsin Administrative Code as of January 1, 2009. Remember that the laws and rules may be revised at a later date. Because the assistance we provide cannot and does not involve giving "legal advice," consideration should be given to seeking professional advice (e.g., legal, financial) before making an offering of securities.