You are here:   

What's New in Securities

Investment Adviser Newsletters

  • Adobe PDF Document Spring 2016
    Patricia Struck, Data Breach Notification, Wire Fraud, Seniors Model Act, Form U4
  • Adobe PDF Document Fall 2015
    Renewal Season, OBAs, E&O Insurance, Exam Deficiencies, Cybersecurity Exam Questions
  • Adobe PDF Document Special Edition 2015
    Common Investment Adviser Deficiencies Reported by NASAA
  • Adobe PDF Document Spring 2015
    Cybersecurity, Custody, Email, Fiduciary Duty, ADV Updates, more...
  • Adobe PDF Document Fall 2014
    Renewal Season, NASAA Announces IARD System Fee Waiver, Cybersecurity Best Practices, more...
  • Adobe PDF Document Spring 2014
    ADV Updates, Contingency and Succession Business Planning, Advertising Basics, Crowdfunding, Privacy
  • Adobe PDF Document Fall 2013
    Renewal Season, Avoiding Common Deficiencies in ADV Part 2, Documenting Your Client's Risk Tolerance, Reg D
  • Adobe PDF Document Spring 2013
    Profitable Sunrise, DFI Facebook page, Annual Amendment to Form ADV, Completing the ADV Re: Custody
  • Adobe PDF Document Fall 2012
    Division of Securities Moving to New Location, Investment Adviser Switch, IARD System Fee Waiver, Social Media Tip

Other Division News

  • Branch Office Online Accepts E-Check and American Express Payments

    The Wisconsin Department of Financial Institutions, Division of Securities now accepts payment for federal covered investment adviser branch office filings using E-Check and American Express card. Advisers have been able to use the Branch Office Online application to make their notice filings for Wisconsin branch offices using VISA or Mastercard to pay related fees. Because numerous firms have requested that we also offer payment by Electronic Check and American Express, we are pleased to make those payment options available.

    Just visit DFI Online Application to create your user account or make filings. If you would like to view tutorials on setting up a BOO account or entering branch office data, please visit the following links:

    Branch Office Online Tutorials