Section DFI-Sec 3.02 - Registration by qualification(1) A registration statement under s. 551.304(2), Stats., shall be submitted on Form U-1, shall contain the information prescribed in ss. 551.304(2) and 551.305, Stats., and if the security to be registered is a note, bond, debenture or other evidence of indebtedness, a trust indenture meeting the requirements of s. DFI-Sec 3.04, unless the requirement to furnish a trust indenture relating to the securities is waived by the division for good cause shown.(2) The division may permit the omission of the filing of any information or document required under s. 551.304(2), Stats., if the division determines that the information or document is not required for the protection of investors.(3) Any information required under sub. (1) may be included in a prospectus meeting the requirements of s. DFI-Sec 3.03, if a cross-reference table is filed showing where the information appears in the prospectus. Wis. Admin. Code Department of Financial Institutions DFI-Sec 3.02
Renum. from SEC 2.05, am. (1) (c) and (g) and (3), and r. and reCR (1) (p), Register, December, 1977, No. 264, eff. 1-1-78; emerg. am. (1) (h), eff. 6-19-78; am. (1) (h), Register, September, 1978, No. 273, eff. 10-1-78; am. (1) (intro.), Register, December, 1979, No. 288, eff. 1-1-80; am. (1) (b) to (g), (n) to (p), (2) and (3), Register, December, 1980, No. 300, eff. 1-1-81; am. (1) (c) and (m), Register, December, 1982, No. 324, eff. 1-1-83; renum. from SEC 3.22, Register, December, 1996, No. 492, eff. 1-1-97; am. (1) (h), (m), Register, December, 1998, No. 516, eff. 1-1-99; CR 08-077: renum. (1) (intro.) to be (1) and am., r. (1) (a) to (q), am. (2) and (3) Register December 2008 No. 636, eff. 1-1-09.