551.505 Misleading filings. It is unlawful for a person to make or cause to be made, in a record that is used in an action or proceeding or filed under this chapter, a statement that, at the time and in the light of the circumstances under which it is made, is false or misleading in a material respect, or, in connection with the statement, to omit to state a material fact necessary to make the statement made, in the light of the circumstances under which it was made, not false or misleading.
History: 2007 a. 196.
Structure Wisconsin Statutes & Annotations
Wisconsin Statutes & Annotations
Chapter 551 - Wisconsin uniform securities law.
551.103 - References to federal statutes.
551.104 - References to federal agencies.
551.105 - Electronic records and signatures.
551.202 - Exempt transactions.
551.203 - Additional exemptions and waivers.
551.301 - Securities registration requirement.
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.
551.407 - Succession and change in registration of broker-dealer or investment adviser.
551.411 - Postregistration requirements.
551.502 - Prohibited conduct in providing investment advice.
551.504 - Filing of sales and advertising literature.
551.506 - Misrepresentations concerning registration or exemption.
551.602 - Investigations and subpoenas.
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.
551.703 - Application of act to existing proceeding and existing rights and duties.