Employee Benefit or Stock Option Plans Qualified as Rule 701 Plans

​​​​​Statute:  Wis. Stat. s. 551.202(21)

Used for: Offers or sales of a security by an issuer pursuant to employee benefit plans, including stock option plans, including plans that qualify for use of the registration exemption under Rule 230.701 under section 3(b) of the Securities Act of 1933

Filing requirement: Self-executing. No filing or Consent to Service of Process is necessary to claim this exemption.

History: Predecessor rule in Wis. Admin. Code s. DFI-Sec 2.029(9)(m) under Wis. Stat. s. 551.23(18) adopted January 1, 1989. Superseded by Wis. Stat. s. 551.202(21)​, effective January 1, 2009.

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Phone: (608) 266-2139

Email: DFISecurities@dfi.wisconsin.gov​​