Used for: Offers or sales of securities to the employees or agents of the issuer or its subsidiaries pursuant to a stock option or similar benefit plan
Filing requirement: Self-executing. No filing or Consent to Service of Process is necessary to claim this exemption.
History: Predecessor exemption rule in Wis. Admin. Code s. DFI-Sec 2.02(9)(f) under Wis. Stat. s. 551.23(18) adopted January 1, 1970. Repealed and recreated effective January 1, 2009.
Phone: (608) 266-2139