Statutes, codes, and regulations
Wisconsin Administrative Code
Agency - Department of Financial InstitutionsDepartment of Financial Institutions-Securities
Chapter DFI-Sec 5 - Registration and notice filing procedures for investment advisers, federal covered investment advisers, and investment adviser representatives
Section DFI-Sec 5.12 - Transition filing

Wis. Admin. Code Department of Financial Institutions DFI-Sec 5.12

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Current through November 25, 2024
Section DFI-Sec 5.12 - Transition filing

An agent who is registered in this state on December 31, 2008 for a registered broker-dealer that was also approved to act as an investment adviser in this state and who also met the examination requirement in s. DFI-Sec 5.01(3), shall make a transition filing electronically with the investment adviser registration depository not later than June 1, 2009.

Wis. Admin. Code Department of Financial Institutions DFI-Sec 5.12

Emerg. CR eff. 1-1-01; CR 01-025: CR Register July 2001, No. 547 eff. 8-1-01; CR 02-102: am. (4), Register December 2002 No. 564, eff. 1-1-03; CR 08-077: r. and reCR Register December 2008 No. 636, eff. 1-1-09.