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Licensing Requirements

License Title:



If an issuer of securities does not wish to use a broker-dealer to distribute its securities to the public, it may decide to market them directly to the public. Issuers may choose to have an officer, director or other employee make the solicitations and effect the sales or they may hire a third party specifically for the purpose of soliciting buyers. These individuals may be considered Agents-of-the-Issuer as that term is defined in the Wisconsin Uniform Securities Law. Depending on a number of factors, these agents may need to be registered with the Division before commencing any solicitation activities. One important factor is the security registration or exemption used to qualify the offering for sale in the state. No determination of agent registration requirements can be made until the security registration or exemption filing has been made or, in the case of an exemption that does not require filing, the issuer has explained which exemption it is relying on and how the issuer intends to meet the provisions of that exemption.

Licensing Authority:
WI Dept of Financial Institutions
Division of Securities
345 W. Washington Ave, 4th floor
P.O. Box 1768
Madison, WI 53707-1768


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