Finra Broker-Dealers Limited Securities Agent Renewal Form - Division Of Securities Of Department Of Financial Institutions Of State Of Wisconsin 2007

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State of Wisconsin

Department of Financial Institutions

Jim Doyle, Governor

Lorrie Keating Heinemann, Secretary

DATE

October 12, 2007

TO:

All Broker-Dealers with Limited Securities Agents

RE:

Limited Securities Agent Renewals

Attached please find a Wisconsin Broker-dealer Renewal form [BDRL(WI)], which must be

completed for all limited securities agents of your firm. The renewal form must be accompanied by a

$30 filing fee for each individual listed. The only individuals on the list should be individuals that

are currently licensed but do not have their applications processed via the FINRA CRD system, as this

is a renewal form only.

As all FINRA member broker-dealers licensed in this state and all FINRA securities agents will be

renewed through the Central Registration Depository (CRD), it is necessary that this form relating to

limited securities agents be filed with this Division each December. If this form is not filed timely

with this Division, all limited securities agent licenses will expire on December 31

The license renewal form must be received in this Division NOT LATER THAN DECEMBER 1

If the renewal form is not received by December 1

, a delinquent filing fee of $100 shall be charged

pursuant to s. DFI-Sec 7.01(6)(f), Wis. Adm. Code.

If you have any questions concerning this matter, please feel free to contact the Licensing &

Compliance staff at (608) 266-2139.

Division of Securities

Mail: PO Box 1768 Madison, WI 53701-1768

Courier: 345 W. Washington Ave. 4

Floor Madison, WI 53703

Voice: (608) 266-1064

Fax: (608) 264-7979

TTY: (608) 266-8818

Internet:

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