Filing Forms & Applications

​Uniform Application to Register Securities Form U-1​​ - North American Securities Administrators Association (NASAA) Uniform Forms

Uniform Consent to Service of Process Form U-2 - North American Securities Administrators Association (NASAA) Uniform Forms

Uniform Form of Corporate Resolution Form U-2A - North American Securities Administrators Association (NASAA) Uniform Forms

Uniform Investment Company No​tice Filing​ Form NF​ - North American Securities Administrators Association (NASAA) Uniform Forms​

Small Corporate Offering Registration Form U-7​ - North American Securities Administrators Association (NASAA) Uniform Forms.

​Form D Notice of Exempt Offering of Securities - U.S. Securities and Exchange Commission Form

Uniform Notice of Regulation A - Tier 2 Offering

Form DOSSOI​ - Solicitation of Interest ​

North American Securities Administrators Association (NASAA) Electronic Filing Depository

​DFI Online Application 551.202(26) Issuer Exemption Notice Filing 

DFI Online Application 551.202(27) Issuer Exemption Notice Filing​ 

DFI Online Application Internet Site Operator Registration​ 

To request printable PDF Crowdfunding forms to submit by mail, send an email to DFISecurities@dfi.wisconsin.gov

NOTE: The forms and summaries of the requirements of the Wisconsin Uniform Securities Law, the Wisconsin Franchise Investment Law, and the corresponding sections of the Wisconsin Administrative Code​ are for informational purposes only, and the statutes and rules may be revised at a future date. The Division of Securities cannot and does not provide legal or financial advice, and professional advice should be obtained before making an offering of securities or selling a franchise in Wisconsin.                      ​