Wisconsin Statutes & Annotations
Chapter 551 - Wisconsin uniform securities law.
551.103 - References to federal statutes.

551.103 References to federal statutes. “Securities Act of 1933" (15 USC 77a et seq.), “Securities Exchange Act of 1934" (15 USC 78a et seq.), “Public Utility Holding Company Act of 1935" (15 USC 79 et seq.), “Investment Company Act of 1940" (15 USC 80a-1 et seq.), “Investment Advisers Act of 1940" (15 USC 80b-1 et seq.), “Employee Retirement Income Security Act of 1974" (29 USC 1001 et seq.), “National Housing Act" (12 USC 1701 et seq.), “Commodity Exchange Act" (7 USC 1 et seq.), “Internal Revenue Code" (26 USC 1 et seq.), “Securities Investor Protection Act of 1970" (15 USC 78aaa et seq.), “Securities Litigation Uniform Standards Act of 1998" (112 Stat. 3227), “Small Business Investment Act of 1958" (15 USC 661 et seq.), and “Electronic Signatures in Global and National Commerce Act" (15 USC 7001 et seq.) mean those statutes and the rules and regulations adopted under those statutes, as in effect on the date of enactment of this chapter, or as later amended.
History: 2007 a. 196.

Structure Wisconsin Statutes & Annotations

Wisconsin Statutes & Annotations

Chapter 551 - Wisconsin uniform securities law.

551.101 - Short title.

551.102 - Definitions.

551.103 - References to federal statutes.

551.104 - References to federal agencies.

551.105 - Electronic records and signatures.

551.201 - Exempt securities.

551.202 - Exempt transactions.

551.203 - Additional exemptions and waivers.

551.204 - Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.

551.205 - Additional provisions related to crowdfunding exemption for intrastate offerings through Internet sites.

551.206 - Adjustments.

551.301 - Securities registration requirement.

551.302 - Notice filing.

551.303 - Securities registration by coordination.

551.304 - Securities registration by qualification.

551.305 - Securities registration filings.

551.306 - Denial, suspension, and revocation of securities registration.

551.307 - Waiver and modification.

551.401 - Broker-dealer registration requirement and exemptions.

551.402 - Agent registration requirement and exemptions.

551.403 - Investment adviser registration requirement and exemptions.

551.404 - Investment adviser representative registration requirement and exemptions.

551.405 - Federal covered investment adviser notice filing requirement.

551.406 - Registration by broker-dealer, agent, investment adviser, and investment adviser representative.

551.407 - Succession and change in registration of broker-dealer or investment adviser.

551.408 - Termination of employment or association of agent and investment adviser representative and transfer of employment or association.

551.409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

551.411 - Postregistration requirements.

551.412 - Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration.

551.501 - General fraud.

551.502 - Prohibited conduct in providing investment advice.

551.503 - Evidentiary burden.

551.504 - Filing of sales and advertising literature.

551.505 - Misleading filings.

551.506 - Misrepresentations concerning registration or exemption.

551.507 - Qualified immunity.

551.508 - Criminal penalties.

551.509 - Civil liability.

551.511 - Rescission offers.

551.601 - Administration.

551.602 - Investigations and subpoenas.

551.603 - Civil enforcement.

551.604 - Administrative enforcement.

551.605 - Rules, forms, orders, interpretative opinions, and hearings.

551.606 - Administrative files and opinions.

551.607 - Public records; confidentiality.

551.608 - Uniformity and cooperation with other agencies.

551.609 - Judicial review.

551.611 - Service of process.

551.613 - Jurisdiction.

551.614 - Fees and expenses.

551.615 - Statutory policy.

551.701 - Effective date.

551.703 - Application of act to existing proceeding and existing rights and duties.