BD- Wisconsin Broker-Dealer Agent Simultaneous Reg. Disclosure App. Form

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The WI Broker-Dealer Agent Simultaneous Registration Disclosure Application Form should be completed and filed by a broker-dealer or issuer acknowledging that a securities agent will simultaneously represent more than one broker-dealer or issuer that are not directly affiliated by direct or indirect common control.  Prior to engaging in such activity the agent must be granted approval in writing pursuant to Wisconsin State Legislature, Section 551.402(5)-(6).

Version/Update: V.U/04/2018

Total Page Count/Format: 2/.pdf

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