BD- Wisconsin Broker-Dealer Activity of Applicant Form

The WI Broker-Dealer Activity of Applicant Form is an updated representation that the broker-dealer applicant, its principals, officers, agents, and/or related persons have or have not transacted business prior to registration in the state of Wisconsin pursuant to Wisconsin State Legislature, Section 551.401. 

Version/Update: V.U/04/2018

Total Page Count/Format: 1/.pdf

Source/Author(s): Wisconsin Department of Financial Institutions