Issuer to Underwriter Transactions or Underwriter to Issuer Transactions

​​​​​​​​​Statute: Wis. Stat. s. 551.202(10)

Used for: Transactions between issuers and underwriters

Filing requirement: Self-executing. No filing or Consent to Service of Process is necessary to claim this exemption.
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History: Predecessor statute Wis. Stat. s. 551.23(4) adopted on January 1, 1970.  Identical to Uniform Securities Act of 1956 section 402(b)(4). Renumbered effective January 1, 2009.


Con​​tact Us

Phone: (608) 266-2139

Email: DFISecurities@dfi.wisconsin.gov​