Used for: Securities issued in connection with an employee stock purchase, option, savings, pension, or profit-sharing plan
Filing requirement: Self-executing. No filing or Consent to Service of Process is necessary to claim this exemption.
History: Predecessor statute Wis. Stat. s. 551.22(10) and Wis. Admin. Code s. DFI-Sec 2.02(9)(f), adopted on January 1, 1970. Repealed and recreated effective January 1, 2009.
Contact Us
Phone: (608) 266-2139
Email: DFISecurities@dfi.wisconsin.gov