Wisconsin Broker-Dealer Licensing Form And Procedure Page 3
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4FEES
Fees incident to filing broker-dealer and agent applications include the following:
$400
FILING ($200) and EXAMINATION FEES ($200) – For review of the application by this
Division prescribed by sec. 551.52(2), Wis. Stats. and s. DFI-Sec 7.01, Wis. Adm. Code, for
a BROKER-DEALER APPLICATION. These fees are to be submitted directly to the
CRD.
$30
SECURITIES AGENT APPLICATION FILING FEE ($30) must be remitted for each
securities agent application filed. These fees are to be submitted directly to the CRD.
$30
BRANCH OFFICE FILING FEE ($30) prescribed by sec. 551.52(2), Wis. Stats., for each
branch office located in Wisconsin. These fees are to be submitted directly to the CRD.
REVIEW BY STAFF
After an application is received by the Division it will be reviewed and you will be notified in writing of
any deficiencies within 30 days. However, most deficiency letters are sent within 10 days. The date of
filing is based upon the date the application is transferred from “No Status” to “Pending” on the records
of the CRD.
Depending upon the information filed in the application and at the discretion of the staff, additional
information may be requested. The filing of any information with the CRD does not preclude a request
that a hard copy be filed with the Division. Wisconsin statutes require that a firm be advised of any
deficiencies in its application within 30 days of filing. The applicant has 180 days from the initial filing
date of its application to address all deficiencies and complete the application.
AMENDMENTS to Form BD, changes of address or principal office, changes to Schedules A through D
or other related topics will be accepted as filed with the CRD. These amendments are not required to be
filed directly with the Division.
All reports required by s. DFI-Sec 4.04, Wis. Adm. Code and copies of all civil suits must still be filed
with the Division regardless of their inclusion with a Form BD amendment.
LAW AND RULES AVAILABLE
Copies of the Wisconsin Uniform Securities Law and Rules of the Division are available online at the
DFI website at:
************************************************************************************
If you have questions about requirements for registering as a foreign corporation in Wisconsin, contact
rd
the DFI Division of Corporate & Consumer Services, 345 W. Washington Ave., 3
Floor, Madison,
Wisconsin 53703, (608) 261-9555.
If you have any additional questions concerning Wisconsin broker-dealer license application
requirements, you may call (608) 266-2139 for assistance.
Additional copies of this packet and forms are available online at:
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DFI/DOS/BDP 11/05
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