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Securities Forms and Applications

Form Groups on this Page:

Wisconsin Crowdfunding Forms

DFI Online Application 551.202(26) Issuer Exemption Notice Filing

DFI Online Application 551.202(27) Issuer Exemption Notice Filing

DFI Online Application Internet Site Operator Registration

For printable PDF forms to submit by mail, send an E-mail to DFISecurities@wisconsin.gov

Securities Registration Forms

Adobe PDF Document  Uniform Application to Register Securities (U-1)  (PDF: 10 KB / 3 pages)

Adobe PDF Document 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.

Adobe PDF Document  Solicitations of Interest (SOI)  (PDF: 5 KB / 1 page)

Midwest Regional Review Program Application

Adobe PDF Document Form D (external link)

Adobe PDF Document  Form NF  (PDF: 18 KB / 3 pages)

Registration of Securities Professionals Forms

Adobe PDF Document  BD Packet  (PDF: 168 KB / 4 pages) --  Includes Form BDAA plus instructions.

Adobe PDF Document  Form BD  (PDF: external link)

Adobe PDF Document  Form BDAA  (PDF: 127 KB / 1 page) -- Wisconsin Broker-Dealer Activity of Applicant

Adobe PDF Document  Form BDW  (PDF: external link)

Adobe PDF Document  Form U-4  (PDF: external link)

Adobe PDF Document  Form U-5  (PDF: external link)

Adobe PDF Document  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.

Adobe PDF Document  New Part 1A and 1B of Form ADV   (PDF: external link)

Adobe PDF Document  Form IAAA  (PDF: 224 KB / 1 page) -- Wisconsin Investment Advisory Acitivity of Applicant

Adobe PDF Document  Form IADS  (PDF: 179 KB / 1 page) -- Investment Adviser Designation of Supervisor

Adobe PDF Document  Form IAFC  (PDF: 153 KB / 1 page) -- Financial Certification

Adobe PDF Document  Form ADV-H  (PDF: external link)

Adobe PDF Document  Form ADV-E  (PDF: external link)

Adobe PDF Document  Form ADV-W (PDF external link)

Adobe PDF Document  Form ASIM  (PDF: 70 KB / 2 pages) -- Securites Agent Simultaneous Registration Disclosure Application

Franchising Forms

Adobe PDF Document  Uniform Franchise Registration Application.  (PDF: external link)

Adobe PDF Document  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.