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Going Public!!

These offerings allow you to raise as much money as you need for your business and provide you and your backers with a way to value your company or to cash out. But going public is not for everybody. Many, if not most, small businesses do not choose this route, which can be expensive and time consuming. There may be significant paperwork on both the state and federal level. However, for the business that is ready to take this major step, there are a number of innovative Wisconsin programs that significantly reduce the amount of time and paperwork required.

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Raising Capital brochure
Solicitation of Interest brochure
So You Want to Go Public brochure
Quick Guide to Securities Exemption & Registration Procedures brochure
Wisconsin Uniform Securities Law
Chapter 551 of the Wisconsin Statutes
Chapter DFI - Section of the Wisconsin Administrative Code
containing both securities rules and franchise rules

Forms

Uniform Application to Register Securities (U-1) (PDF: 10 KB / 3 Pages)
One of the required forms used when filing a securities registration application in Wisconsin.

Uniform Consent to Service of Process (U-2) (Word document)
One of the required forms used when filing a securities registration application in Wisconsin. This form should designate "Administrator, Division of Securities" in Wisconsin to receive notice, process, or pleading.

Uniform Form of Corporate Resolution (U-2A) (Word document)
One of the required forms used when a corporation files a securities registration application in Wisconsin.

Small Corporate Offering Registration (SCOR) Disclosure Document (U-7) and information (Word document)
A question-and-answer form of prospectus that meets the disclosure requirements mandated by the Wisconsin Securities Law. This link will take you to the NASAA (North American Securities Administrators Association) Help for Small Business page.

Solicitation of Interest (SOI) (PDF: 5 KB / 1 Page)
The required form if using section DFI - Sec. 2.027, Wis. Adm. Code.

Midwest Regional Review Program Application
One of the required forms for filing a securities registration application under the Midwest Regional Review Program in Wisconsin and one or more of the other program member states.