What's New in Securities
Investment Adviser Newsletters
(PDF: 163 KB / 3 pages)
Renewal Season, OBAs, E&O Insurance, Exam Deficiencies, Cybersecurity Exam Questions
Special Edition 2015
(PDF: 332 KB / 3 pages)
Common Investment Adviser Deficiencies Reported by NASAA
(PDF: 343 KB / 7 pages)
Cybersecurity, Custody, Email, Fiduciary Duty, ADV Updates, more...
(PDF: 179 KB / 7 pages)
Renewal Season, NASAA Announces IARD System Fee Waiver, Cybersecurity Best Practices, more...
(PDF: 531 KB / 5 pages)
ADV Updates, Contingency and Succession Business Planning, Advertising Basics, Crowdfunding, Privacy
(PDF: 490 KB / 4 pages)
Renewal Season, Avoiding Common Deficiencies in ADV Part 2, Documenting Your Client's Risk Tolerance, Reg D
(PDF: 231 KB / 1 page)
Profitable Sunrise, DFI Facebook page, Annual Amendment to Form ADV, Completing the ADV Re: Custody
(PDF: 395 KB / 3 pages)
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 https://www.wdfi.org/apps/BranchOffice/ 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