State of Wisconsin

Department of Financial Institutions

DFI 551.202(26) Issuer Exemption Notice Filing Directions

Please read these directions before clicking the button below.

By completing and submitting this filing, you represent that the Issuer will be relying on the exemption from registration as set forth in Wis. Stats. Sec. 551.202(26) and that the Issuer meets the requirements of the statute, including, but not restricted to the following:

  • Except as provided in subd. 2. of 551.202(26)(c), the proceeds of the sale of securities pursuant to this exemption will not exceed $1,000,000, and
  • This notice is being filed not less than 10 days prior to the 1st offer of the securities relying on this exemption.

What You Need

  • Name of Issuer of the securities
  • Name of financial institution into which investor funds are to be deposited
  • Street address of Issuer
  • Name and address, including email address, of contact for the notice filing
  • An electronic disclosure document in PDF format complying with the requirements of the statute
  • An electronic escrow agreement in PDF format complying with the requirements of the statute
  • An electronic financial audit (if applicable) in PDF format complying with the requirements of the statute
  • Payment: Payment can be made with a credit card (Visa, MasterCard, Discover or American Express) or e-check, using a checking or savings account.
  • Fee: The notice filing fee is $50

Completing The Notice

  • All required fields are marked with *.
  • You must complete all steps.
  • Please direct any questions regarding this filing to 608-266-2139.