Employee Benefit Plans, Including Stock Option Plans

​​​Statute: Wis. Stat. s. 551.202(21)

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 Repealed and recreated effective January 1, 2009.

C​​onta​​ct Us

Phone: (608) 266-2139

Email: DFISecurities@dfi.wisconsin.gov