Wisconsin § 551.504 Filing of sales and advertising literature.

Wisconsin Statutes

§ 551.504 — Filing of sales and advertising literature.

Wisconsin § 551.504

Ch. 551Wisconsin uniform securities law

Subch.subch. V of ch. 551 SUBCHAPTER V

FRAUD AND LIABILITIES

This text of Wisconsin § 551.504 (Filing of sales and advertising literature.) is published on Counsel Stack Legal Research, covering Wisconsin primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook

Wis. Stat. § 551.504 (2026).

Text

551.504 551.504(1) (1) Filing requirement. Except as otherwise provided in sub.

(2), a rule adopted or order issued under this chapter may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this chapter. 551.504(2) (2) Excluded communications. This section does not apply to sales and advertising literature specified in sub.

(1)which relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by s. 551.201 , 551.202 , or 551.20

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551.504
551.504(1) (1) Filing requirement. Except as otherwise provided in sub. (2) , a rule adopted or order issued under this chapter may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this chapter.
551.504(2) (2) Excluded communications. This section does not apply to sales and advertising literature specified in sub. (1) which relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by s. 551.201 , 551.202 , or 551.203 except as required pursuant to s. 551.201 (7) .