Securities

Agencies / Organizations
- Wisconsin
  - WI Dept. of Financial Institutions
    - Securities & Licensing
      Provides definitions of & information about broker-dealers, investment advisors, investment adviser representatives & securities agents.
- National
  - U.S. Securities & Exchange Commission
    - Investor Information
      Provides information about investing wisely & avoiding fraud.
    - SEC Filing & Forms: EDGAR Database
    - SEC News Digest
    - Statements by Company CEOs and CFOs
      List of companies whose CEOs & CFOs are required to file sworn statements with the Securities and Exchange Commission. Statements will be posted to the website as they are received.
  - FINRA
    "The largest non-governmental regulator for all securities firms doing business in the United States." Every securities firm doing business with the American public must, by law, register with FINRA. Also assists in the arbitration and mediation of securities disputes.
    - Filing and Reporting
      - BrokerCheck
      - BondInfo
      - CRD (Central Registration Depository)
      - TRACE (Trade Reporting and Compliance Engine)
    - Rules
  - Municipal Securities Rulemaking Board
BASIC (Background Affiliation Status Information Center) (National Futures Association)
Database contains Commodity Futures Trading Commission registration & NFA membership information. Also contains regulatory & non-regulatory actions contributed by NFA, CFTC & the U.S. futures exchanges.
Complaints
- Brokerage Firms / Securities Agents (WI Dept. of Financial Institutions)
- FINRA Complaints
- SEC Complaints (U.S. Securities & Exchange Commission)
EDGAR
- EDGAR Filings & Forms (US SEC)
Forms
- Securities Registration Form, Securities Licensing Forms & Franchising Forms (WI Dept. of Financial Institutions)
Securities Class Action Clearinghouse (Stanford Law School)
Securities Lawyer's Deskbook (Univ. of Cincinnati College of Law)

The Law (Additional statutes, regulations & opinions may apply to your specific situation.)

WI Statutes: ch. 551-553 "Investment Regulation and Business Development"
WI Statutes: s. 705.21 - 705.31 "Transfer on Death Security Registration"
WI Admin. Code: DFI-SEC 1-36
U.S. Code: Title 15, ch. 2A "Securities and Trust Indentures"
U.S. Code: Title 15, ch. 2B "Securities Investor Protection "
Federal laws
- Laws That Govern the Securities Industry (U.S. Securities & Exchange Commission)
  Includes: Securities Act of 1933; Securities Exchange Act of 1934; Public Utility Holding Company Act of 1935; Trust Indenture Act of 1939; Investment Company Act of 1940; Investment Advisers Act of 1940.
- Sarbanes-Oxley Act of 2002: Public Law 107-204
  Access full-text of the Act, House committee reports, references in the Congressional Record & history of the bill.

Wisconsin State Law Library

Securities

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