Section DFI-Sec 7.02 - Advertising(1) The advertising materials listed in s. 551.504(1), Stats., that are particularized in any of the following paragraphs and that are intended to be used in connection with the offer or sale of a security in this state are required to be included with the filings made under the respective statute or rule cited:(a) Any sales literature, pamphlet, form letter or other advertising record, other than a prospectus, to be used in an offering for which a registration statement has been filed under s. 551.303 or 551.304, Stats.(b) Any sales literature, pamphlet, form letter or other advertising record, other than a prospectus or offering circular, to be used in an offering for which a notice filing has been made for purposes of use of the registration exemption in s. 551.201(7), Stats., and rules thereunder.(c) A circular, form letter, or other advertising record to be used in connection with a going-private transaction that is subject to the filing requirement in s. DFI-Sec 6.05(1) (b).(2) Advertising filed under sub. (1) shall include any fee applicable under s. DFI-Sec 7.01(4). Wis. Admin. Code Department of Financial Institutions DFI-Sec 7.02
CR Register, December, 1969, No. 168, eff. 1-1-70; am. (1) (a) and (b), Register, August, 1972, No. 200, eff. 9-1-72; emerg. am. (1) (b) and (e), eff. 11-4-75; am (1) (b), and (e), Register, February, 1976, No. 242, eff. 3-1-76; am. Register, December, 1977, No. 264, eff. 1-1-78; am. (1) (b), Register, September, 1978, No. 273, eff. 10-1-78; am. (1) (a), Register, December, 1980, No. 300, eff. 1-1-81; am. (2), Register, December, 1981, No. 312, eff. 1-1-82; am. (1) (d), Register, December, 1983. No. 336, eff. 1-1-84; am. (1) (b), Register, March, 1986, No. 363, eff. 4-1-86; am. (1) (a), Register, December, 1990, No. 420, eff. 1-1-91; am. (1) (b), Register, December, 1992, No. 444, eff. 1-1-93; am. (1) (b), Register, December, 2000, No. 540, eff. 1-1-01; CR 01-083: am. (1) (b), Register December 2001 No. 552, eff. 1-1-02; CR 08-077: r. and reCR Register December 2008 No. 636, eff. 1-1-09.