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Wiconsin Broker-Dealer Activity Of Applicant BDAA - Wisconsin
| Wiconsin Broker-Dealer Activity Of Applicant Form. This is a Wisconsin form and can be used in Securities Blue Sky Secretary Of State . |
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§551.406(1) Wis. Stats. and 4.01(2)(a), Wis. Adm. Code STATE OF WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS DIVISION OF SECURITIES 345 West Washington Ave., 4th Fl. PO Box 1768 Madison, WI 53701-1768 (608) 266-2139 TTY: (608) 266-8818 Internet: www.wdfi.org WISCONSIN BROKER-DEALER ACTIVITY OF APPLICANT Pursuant to §551.401(1), Wis. Stats., it is unlawful for any person to transact business in Wisconsin as a broker-dealer unless so registered under Chapter 551, Wis. Stats., except that a person who effects transactions in this state exclusively for the account of or exclusively in offers to sell or sales as specified in §551.401(2) and (4), Wis. Stats., or section DFI-Sec 4.10(1), Wis. Adm. Code, is not required to be so registered. Transacting business includes effecting or attempting to effect transactions in securities and/or soliciting any person in the state to become a customer of the broker-dealer. The fact that a person may have transacted business as a broker-dealer in Wisconsin in violation of §551.401(1), Wis. Stats., does not mean that a person's Wisconsin registration application will automatically be denied. As part of the Wisconsin Broker-Dealer Registration Application, the applicant must respond as to whether or not the applicant has engaged in broker-dealer business in Wisconsin without being properly registered. To facilitate your response, please complete the questionnaire below and return the completed form to this Division. NO, this applicant is not now transacting and has never transacted broker-dealer business in Wisconsin. YES, this applicant has transacted broker-dealer business in Wisconsin prior to this application. The applicant agrees to stop transacting such business immediately, until properly registered. If yes, list all transactions effected in Wisconsin: Name & Address of Customer Date of Transaction Description of Transaction Date of Client Agreement Name of Agent Total Commissions Charged _____________________________________________________________________________________________________ _____________________________________________________________________________________________________ _____________________________________________________________________________________________________ (Attach additional pages if space provided is insufficient.) Name of Applicant ______________________________________________________________ ______________________________________________________________________________ Firm's Authorized Signatory ______________________________________________________________________________ Typed Name and Title of Signatory Date _____________________________ Firm CRD Number____________________ This document can be made available in alternate formats upon request to qualifying individuals with disabilities. DFI/DOS/BDAA(WI)(R04/10) American LegalNet, Inc. www.FormsWorkFlow.com
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