Section DFI-Sec 5.07 - Registration and notice filing period(1) The registration of an investment adviser expires on December 31 of each year. Each registered investment adviser seeking renewal of its registration shall file for renewal with the investment adviser registration depository according to the depository's schedule.(2)(a) The registration of an investment adviser representative expires on the same day as the expiration of the registration of the investment adviser or the notice filing of the federal covered investment adviser which the person represents. The registration of an investment adviser representative is not effective during any period when the investment adviser which that person represents is not registered, or when the federal covered investment adviser that the person represents does not have an effective notice filing with the division, or during any period when the representative is not employed either by a specified investment adviser registered under ch. 551, Stats., or a federal covered investment adviser that has filed a notice with the division under s. 551.405, Stats. Each registered investment adviser representative seeking renewal of his or her registration shall file for renewal with the central registration depository according to the depository's schedule.(b) An agent of a broker-dealer that is also registered as an investment adviser or notice filed as a federal covered investment adviser shall also register as an investment adviser representative of that investment adviser or federal covered investment adviser pursuant to s. 551.404, Stats.Wis. Admin. Code Department of Financial Institutions DFI-Sec 5.07
CR Register, December, 1977, No. 264, eff. 1-1-78; am., Register, December, 1980, No. 300, eff. 1-1-81; am. (1), Register, December, 1994, No. 468, eff. 1-1-95; am. (1) and (2), CR (3) and (4), Register, December, 1998, No. 516, eff. 1-1-99; emerg. r. and reCR eff. 1-1-01; CR 01-025: r. and recr., Register July 2001, No. 547 eff. 8-1-01; CR 02-102: am. (1), renum. (2) to be (2) (a) and am., CR (2) (b), Register December 2002 No. 564, eff. 1-1-03; correction in (2) (b) made under s. 13.93(2m) (b) 7, Stats., Register December 2004 No. 588; CR 08-077: am. (title), (1) and (2) (a), r. and reCR (2) (b) Register December 2008 No. 636, eff. 1-1-09.