Dealer Requirements: The broker/dealer must be registered with the State of Wisconsin. A $200 registration fee must be paid. The securities commissioner will determine the credentials of the dealer and determine whether or not an examination is necessary.

Filing Fees: A flat rate of $750 is required.

Official Recognition: Yes

Forms: The standard U-1, U-2, U-2A and U-7 Forms are required to register securities with the state.

Regulatory Contact:

Contact:
Division of Securities

Address:
P.O. Box 1768
Madison WI 53705
Phone:
(608) 266-1064
Fax:
(608) 264-7979
http://www.wa.gov/dfi/securities (website)

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