Wis. Admin. Code Department of Financial Institutions DFI-Sec 35.01

Current through October 28, 2024

Section DFI-Sec 35.01 - Fees

The following fees, prescribed for examination of various matters arising under ch. 553, Stats., are chargeable to the applicant or registrant and are payable, unless otherwise provided by the division, at the time the application or notice is filed:

(1)

(a) Application for order of exemption under s. 553.25, Stats.$200.

(b) Application for opinion confirming a registration exemption or an exclusion from a definition$500.

(c) Application for issuance of an interpretive opinion under ch. 553, Stats.$500.

(d) Application for amendment of a registration statement under s. 553.31, Stats.$200.

(2) Preparation of computer-generated lists:

(a) Preparation of a list from agency computer database$25 per 75 pages of printed report.

(b) Creation of a computer program for the purpose of preparing a report$20.

(3) Issuance of a certificate under s. 553.75(4), Stats., relating to the existence or non-existence of documents or entries on file or contained in the records of the division's office$50.00 plus $1 per page for copies included with the certificate.

(5) Per copy cost of 2008 Franchise Registration and Disclosure Guidelines adopted on June 6, 2008 by the North American Securities Administrators Association and Related Documents¦ $20.

Wis. Admin. Code Department of Financial Institutions DFI-Sec 35.01

CR Register, October, 1972, No. 202, eff. 11-1-72; am. (1) (a) and (b), (2) (a), CR (1) (d) and (e), Register, December, 1980, No. 300, eff. 1-1-81; CR (3) and (4), Register, December, 1982, No. 324, eff. 1-1-83; renum. (1) (b) to (e) to be (1) (c) to (f), CR (1) (b) and (g), Register, December, 1984, No. 348, eff. 1-1-85; am. (1) (a) and (c), Register, December, 1985, No. 360, eff. 1-1-86; am. (2) (a) and (b), Register, December, 1986, No. 372, eff. 1-1-87; r. and reCR (1) to (3), Register, December, 1988, No. 396, eff. 1-1-89; CR (5), Register, December, 1989, No. 408, eff. 1-1-90; reprinted to correct error in (4), Register, December, 1990, No. 420; CR (1) (h) and (6), r. and reCR (3), Register, December, 1991, No. 432, eff. 1-1-92; r. (1) (b), (e), (f), (h) (5), renum. (1) (c), (d), (g) to be (1) (b), (c), (d) and (6) to be (5), r. and reCR (2), Register, December, 1996, No. 492; r. (4), Register, April, 1998, No. 508, eff. 5-1-98; CR 08-077: am. (5) Register December 2008 No. 636, eff. 1-1-09.