Securities Forms and Applications

Form Groups on this Page:

• Wisconsin Crowdfunding Forms
• Securities Registration Forms
• Registration of Securities Professionals Forms
• Franchise Filing

Wisconsin Crowdfunding Forms

551.202(26) Issuer Exemption Notice Filing

551.202(27) Issuer Exemption Notice Filing

Internet Site Operator Registration

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

Securities Registration Forms

  Uniform Application to Register Securities (U-1) (PDF: external link)

  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)

Midwest Regional Review Program Application

Form D (external link)

Electronic Filing Depository (external link)

  Form NF  (external link)

Registration of Securities Professionals Forms

  BD Packet -- Includes Form BDAA plus instructions.

  Form BD  (external link)

  Form BDAA -- 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)

  IA Packet   -- All of the following four forms plus instructions.

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

  Form IAAA  -- Wisconsin Investment Advisory Activity of Applicant

  Form IADS  -- Investment Adviser Designation of Supervisor

  Form IAFC  -- Financial Certification

  Form ADV-H  (PDF: external link)

  Form ADV-E  (PDF: external link)

  Form ADV-W (PDF external link)

  Form ASIM  -- Securites Agent Simultaneous Registration Disclosure Application

Franchise Filing

Click Here to File a Franchise Online

NOTE: The forms and summaries of the requirements of the Wisconsin Uniform Securities Law, the Wisconsin Franchise Investment Law, and the corresponding sections of the Wisconsin Administrative Code are for informational purposes only, and the statutes and rules may be revised at a later date. The division cannot and does not provide legal or financial advice, and consideration should be given to seeking professional advice before making an offering of securities or selling a franchise in Wisconsin.