Wis. Admin. Code Department of Financial Institutions DFI-Sec 3.01

Current through October 28, 2024

Section DFI-Sec 3.01 - Registration by coordination

A registration statement under s. 551.303, Stats., shall be submitted on Form U-1, shall contain the following information and be accompanied by the following documents in addition to the information specified in ss. 551.303(2) and 551.305, Stats.:

(1)

(a) If the security to be registered is a note, bond, debenture or other evidence of indebtedness, a trust indenture meeting the requirements of s. DFI-Sec 3.04, unless the requirement to furnish a trust indenture relating to the securities is waived by the division for good cause shown; and

(b) Any other information or copies of any documents required to be filed under form U-1.

(2) In any offering for which a registration statement on U.S. securities and exchange commission Form F-7, F-8, F-9 or F-10 has been filed by coordination with the division, the requirement in s. 551.303(3) (b), Stats., that a registration statement be on file with the division for at least 10 days is reduced to a requirement that the registration statement be on file with the division for at least 7 days.

Wis. Admin. Code Department of Financial Institutions DFI-Sec 3.01

Renum. from SEC 2.04 and am. Register, December, 1977, No. 264, eff. 1-1-78; am. (intro.), Register, December, 1979, No. 288, eff. 1-1-80; CR (3), Register, December, 1980, No. 300, eff. 1-1-81; renum. (1) to be (1) (a) and am., renum. (2) and (3) to be (1) (b) and (2), Register, December, 1982, No. 324, eff. 1-1-83; CR (3), Register, December, 1991, No. 432, eff. 1-1-92; renum. from SEC 3.21, Register, December, 1996, No. 492, eff. 1-1-97; am. (1) (a), r. (2), Register, December, 1998, No. 516, eff. 1-1-99; correction made under s. 13.93(2m) (b) 1, Stats., Register, December, 1998, No. 516; CR 08-077: am. (intro.), (1) (a) and (2) Register December 2008 No. 636, eff. 1-1-09.