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DFI Open Records

Before you request public records from the Department of Financial Institutions, please read the following:

Much of the information DFI holds is publicly available on our website and does not require an Open Records request (e.g. corporate records, UCC filings, trademarks, securities registrations, franchise registrations, notaries public commissions, charitable organizations, etc.) These areas are readily available and accessible from our home page. Simply expand the "I Want to Search" menu on the left side of our home page and choose your area of interest.

Time for Responding

Generally, small and straightforward requests will be completed within 10 business days of receipt whenever it is practicable to do so. If requesting an update on the status of a records request, the department will respond within 5 business days.

Costs

For costs, click here.

Identifying Records

A request must reasonably describe the records sought; e.g., specific documents concerning a specific entity or industry.

Withheld Records

The department does not release examinations, examination information or reports filed by a bank or licensee with the department.

The department does not release facts and information obtained in the course of examinations or contained in any report provided by a credit union other than a semiannual or quarterly financial report that is regularly filed with the office of credit unions.

Regarding the division of securities, the following records are not public records and are not available for public examination, pursuant to s. 551.607, Stats.:

  • Information and records obtained by the administrator in connection with an audit or inspection under s. 551.411 (4) or a pending investigation under s. 551.602.
  • A part of a record filed in connection with a registration statement under ss. 551.301 and 551.303 to 551.305 or a record under s. 551.411 (4) that contains trade secrets or confidential information if the person filing the registration statement or record has asserted a claim of confidentiality or privilege that is authorized by law.
  • A record that is not required to be provided to the administrator or filed under this chapter and is provided to the administrator only on the condition that the record will not be subject to public examination or disclosure.
  • A nonpublic record received from a person specified in s. 551.608 (1).
  • Subject to s. 551.406 (6) (a), any social security number, residential address unless used as a business address, and residential telephone number unless used as a business telephone number, contained in a record that is filed.
  • A record obtained by the administrator through a designee of the administrator that a rule or order under this chapter determines has been appropriately expunged from the administrator's records by the designee.
  • Any information or record received under s. 551.202 (26) (k) relating to payments for securities, the copy of the disclosure statement provided to the administrator under s. 551.202 (26) (f) 2., and any information or record obtained by the division under s. 551.205 (1) (c).

Personnel records, with limited exceptions, shall not be provided, including information regarding personal matters (e.g., home address, social security number), current investigations, employment examinations and staff management planning.

Department records subject to an attorney-client privilege or deemed attorney work product will not be released.

Redacted Information

Information redacted from records includes, but may not be limited to, names of any debtor of any bank or licensee, an individual's birth date, social security numbers, personal health and medical information, federal employment identification numbers and account numbers.

Law Enforcement, or Local, State or Federal Agencies Requesting Records

For any and all requests from law enforcement, or local, state or federal agencies regarding any department record or filing, including corporate and UCC filings, send your request to DFIOpenRecords@wisconsin.gov.

Records available to download free or to purchase from the department

The following records are available to download free from the department's website or to purchase from the department. These records are not obtainable pursuant to an open records request.

For copies of corporate filings, Click Here.

For a compilation or list of corporate filings, Click Here.

For searching and obtaining copies of UCC filings, Click Here.

For an index or images of all active UCC filings, Click Here.

For securities registrant lists, Click Here.

For a list of all active franchise registrations, Click Here.

For franchise filing details and disclosure documents, Click Here.

Information Not on Record

The department is not required to create a new record by extracting and compiling information from existing records into a new format or record.

Format

When requested and whenever practical, the department will provide electronic copies of records that already exist in an electronic format.

E-mail Your Request

To submit your request for Public Records, e-mail DFIOpenRecords@wisconsin.gov.