Wis. Admin. Code Department of Financial Institutions DFI-Sec 5.10 - Electronic filing

(1) Each investment adviser shall file a copy of its current form ADV Parts 1 and II electronically with the Investment Adviser Registration Depository.

(2) Any documents or fees required to be filed with the division that are not permitted to be filed with, or cannot be accepted by, the investment adviser registration depository or the central registration depository shall be filed directly with the division.

(3) Each investment adviser that is registered in this state on January 1, 2011 shall file a copy of its current form ADV Part 2 electronically with the Investment Adviser Registration Depository by no later than July 1, 2011.

Notes

Wis. Admin. Code Department of Financial Institutions DFI-Sec 5.10

Emerg. CR eff. 1-1-01; CR 01-025: CR Register July 2001, No. 547 eff. 8-1-01; CR 02-102: am. Register December 2002 No. 564, eff. 1-1-03; CR 08-077: am. Register December 2008 No. 636, eff. 1-1-09; CR 10-062: r. and reCR Register September 2010 No. 657, eff. 10-1-10.