Subchapter

Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers

Wis. Stat. § 551.401— Broker-dealer registration requirement and exemptions
Wis. Stat. § 551.402— Agent registration requirement and exemptions
Wis. Stat. § 551.403— Investment adviser registration requirement and exemptions
Wis. Stat. § 551.404— Investment adviser representative registration requirement and exemptions
Wis. Stat. § 551.405— Federal covered investment adviser notice filing requirement
Wis. Stat. § 551.406— Registration by broker-dealer, agent, investment adviser, and investment adviser representative
Wis. Stat. § 551.407— Succession and change in registration of broker-dealer or investment adviser
Wis. Stat. § 551.408— Termination of employment or association of agent and investment adviser representative and transfer of employment or association
Wis. Stat. § 551.409— Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
Wis. Stat. § 551.411— Postregistration requirements
Wis. Stat. § 551.412— Denial, revocation, suspension, censure, withdrawal, restriction, condition, or limitation of registration