Investment Adviser Understanding Of Supervisory Responsibilities Regarding Wisconsin Uniform Securities Law And Administrative Code Form Page 2

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§551.32(1)(b), Wis. Stats. and 5.01(2), Wis. Adm. Code
6.
S. DFI-Sec 5.06(3), Wis. Adm. Code. Inducing trading in a customer’s account that is excessive in size or
frequency in view of the financial resources and character of the account.
7.
S. DFI-Sec 5.06(4), Wis. Adm. Code. Recommending to a customer the purchase, sale or exchange of any
security without reasonable grounds to believe that the recommendation is suitable for the customer on the basis
of information furnished by the customer after reasonable inquiry concerning the customer’s investment
objectives, financial situation and needs, and any other information known by the investment adviser.
8.
S. DFI-Sec 5.06(5), Wis. Adm. Code. Placing an order to purchase or sell a security for the account of a
customer without the authority to do so (when discretionary power is not granted, in writing, by the investment
advisory client).
9.
S. DFI-Sec 5.06(6), Wis. Adm. Code. Borrowing money or securities from, or lending money or securities to, a
customer.
10. S. DFI-Sec 5.06(8), Wis. Adm. Code. Placing an order for the purchase or sale of a security if the security is not
registered or the security or transaction is not exempt from registration under ch. 551, Wis. Stats.
11. S. DFI-Sec 5.06(9), Wis. Adm. Code. Placing an order to purchase or sell a security for a customer through a
broker-dealer or agent not licensed under ch. 551, Wis. Stats., unless the customer is a person referenced in
§551.2(8)(a) thru (f), Wis. Stats.
12. S. DFI-Sec 5.06(10), Wis. Adm. Code. Recommending to a customer that the customer engage the services of a
broker-dealer, agent, or investment adviser not licensed under ch. 551, Wis. Stats., unless the customer is a
person described in §551.23(8)(a) thru (f), Wis. Stats. or unless the investment adviser is a federal covered
adviser or is exempt from the licensing requirement in Wisconsin.
Failure to maintain an adequate supervisory system may result in formal action against the firm.
I, the undersigned, do certify that I have read and understand the supervisory responsibilities set forth above,
and that the firm and its licensed representatives will take the necessary steps to ensure compliance with the
above-referenced sections and the remainder of the Wisconsin Uniform Securities Law and Administrative
Code.
Name of Firm: ________________________________________________________________________
____________________________________________________________________________________
Typed Name and Title of an Officer Other Than The Supervisor
_________________________________________________
________________________________
Signature
Date
___________________________________________________________________________________
Typed Name and Title of Designated Wisconsin Supervisor
________________________________________________
________________________________
Signature
Date
This document can be made available in alternate formats upon request to
qualifying individuals with disabilities.
Reset Form
DFI/DOS/IAUSR(WI)(R09/00)
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