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Google Keyword Rankings for : wisconsin securities commission
1
WDFI Division of Securities
https://www.wdfi.org/fi/securities/
Check before you invest! To offer securities or investment advice in Wisconsin, the salesperson and firm must be registered (or exempt from registration). To ...
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https://www.wdfi.org/fi/securities/
Check before you invest! To offer securities or investment advice in Wisconsin, the salesperson and firm must be registered (or exempt from registration). To ...
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2
Wisconsin Department of Financial Institutions
https://www.wdfi.org/
DFI Division of Securities Information Line — Call (608) 266-2139 for questions on regulation and registration of firms and individuals selling securities ...
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https://www.wdfi.org/
DFI Division of Securities Information Line — Call (608) 266-2139 for questions on regulation and registration of firms and individuals selling securities ...
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3
Wisconsin Legislature: Chapter 551
https://docs.legis.wisconsin.gov/statutes/statutes/551
1. The securities that are the subject of a registration statement designated as Form F-7 by the U.S. securities and exchange commission are ...
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https://docs.legis.wisconsin.gov/statutes/statutes/551
1. The securities that are the subject of a registration statement designated as Form F-7 by the U.S. securities and exchange commission are ...
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4
Wisconsin Securities Regulator Appointed to SEC Investor ...
https://www.nasaa.org/56305/wisconsin-securities-regulator-appointed-to-sec-investor-advisory-committee/
Van Buskirk has been appointed to the Securities and Exchange Commission's (SEC) Investor Advisory Committee to represent the views of state ...
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https://www.nasaa.org/56305/wisconsin-securities-regulator-appointed-to-sec-investor-advisory-committee/
Van Buskirk has been appointed to the Securities and Exchange Commission's (SEC) Investor Advisory Committee to represent the views of state ...
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5
Wisconsin & Michigan Steamship Company, Petitioner, v ...
https://www.amazon.com/Petitioner-Corporation-Securities-Commission-Transcript/dp/1270472518
Wisconsin & Michigan Steamship Company, Petitioner, v. Corporation and Securities Commission U.S. Supreme Court Transcript of Record with Supporting ...
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https://www.amazon.com/Petitioner-Corporation-Securities-Commission-Transcript/dp/1270472518
Wisconsin & Michigan Steamship Company, Petitioner, v. Corporation and Securities Commission U.S. Supreme Court Transcript of Record with Supporting ...
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6
AG Kaul, DFI Partner with CFTC and 26 State Securities ...
https://www.doj.state.wi.us/news-releases/ag-kaul-dfi-partner-cftc-and-26-state-securities-regulators-stop-68-million-precious
The state has joined the Commodity Futures Trading Commission (CFTC) ... “Scammers who target Wisconsinites' retirement savings must be held ...
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https://www.doj.state.wi.us/news-releases/ag-kaul-dfi-partner-cftc-and-26-state-securities-regulators-stop-68-million-precious
The state has joined the Commodity Futures Trading Commission (CFTC) ... “Scammers who target Wisconsinites' retirement savings must be held ...
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7
Wisconsin Franchise Registration - Mullin, P.C.
https://www.mrkpc.com/franchise-resources/state-franchise-sales-laws/wisconsin-franchise-registration/
Securities and Franchise Registration Wisconsin Securities Commission 345 West Washington Street, 4th Floor Madison, WI 53703 (608) 266-3364 ...
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https://www.mrkpc.com/franchise-resources/state-franchise-sales-laws/wisconsin-franchise-registration/
Securities and Franchise Registration Wisconsin Securities Commission 345 West Washington Street, 4th Floor Madison, WI 53703 (608) 266-3364 ...
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8
2011 Wisconsin Code - Justia Law
https://law.justia.com/codes/wisconsin/2011/551/551.202.html
Wisconsin uniform securities law. ... a record filed with the Securities and Exchange Commission that is publicly available contains all of the following:.
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https://law.justia.com/codes/wisconsin/2011/551/551.202.html
Wisconsin uniform securities law. ... a record filed with the Securities and Exchange Commission that is publicly available contains all of the following:.
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9
Wisconsin Investment Advisor - RIA Compliance Consultants
https://www.ria-compliance-consultants.com/category/wisconsin-investment-advisor/
Currently, the Alabama Securities Commission, the Arkansas Securities Department, the Connecticut Department of Banking, Securities and ...
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https://www.ria-compliance-consultants.com/category/wisconsin-investment-advisor/
Currently, the Alabama Securities Commission, the Arkansas Securities Department, the Connecticut Department of Banking, Securities and ...
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10
Wisconsin Securities Arbitration & Litigation Lawyers
https://www.ganalawfirm.com/wisconsin-securities-litigation-attorneys.html
Churning is where a broker buys and sells securities for the principal purpose of generating commissions. Our Wisconsin investment fraud attorneys represent ...
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https://www.ganalawfirm.com/wisconsin-securities-litigation-attorneys.html
Churning is where a broker buys and sells securities for the principal purpose of generating commissions. Our Wisconsin investment fraud attorneys represent ...
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11
State and Local Consumer Agencies in Wisconsin | USAGov
https://www.usa.gov/state-consumer/wisconsin
Consumer Protection Offices; State Consumer Protection Offices; Banking Authorities; Insurance Regulators; Securities Administrators; Utility Commissions ...
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https://www.usa.gov/state-consumer/wisconsin
Consumer Protection Offices; State Consumer Protection Offices; Banking Authorities; Insurance Regulators; Securities Administrators; Utility Commissions ...
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12
Leslie Van Buskirk - Administrator, Division of Securities
https://www.linkedin.com/in/leslie-van-buskirk-610a017
My primary objective is to promote and support investor protection in Wisconsin through education, enforcement, financial industry oversight and ...
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https://www.linkedin.com/in/leslie-van-buskirk-610a017
My primary objective is to promote and support investor protection in Wisconsin through education, enforcement, financial industry oversight and ...
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13
How to Become a Stockbroker in Wisconsin – WI | Career
https://www.financialplannerworld.com/wisconsin-stockbroker/
Step 2: Take the Required Exams · Before registering for securities exams, obtain sponsorship from a Wisconsin registered broker-dealer firm. · In order to ...
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https://www.financialplannerworld.com/wisconsin-stockbroker/
Step 2: Take the Required Exams · Before registering for securities exams, obtain sponsorship from a Wisconsin registered broker-dealer firm. · In order to ...
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14
Buy Wisconsin & Michigan Steamship Company, Petitioner, V ...
https://www.flipkart.com/wisconsin-michigan-steamship-company-petitioner-v-corporation-securities-commission-u-s-supreme-court-transcript-record-supporting-pleadings-english/p/itmd5693urwtjkkf
Wisconsin & Michigan Steamship Company, Petitioner, V. Corporation and Securities Commission U.S. Supreme Court Transcript of Record with Supporting ...
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https://www.flipkart.com/wisconsin-michigan-steamship-company-petitioner-v-corporation-securities-commission-u-s-supreme-court-transcript-record-supporting-pleadings-english/p/itmd5693urwtjkkf
Wisconsin & Michigan Steamship Company, Petitioner, V. Corporation and Securities Commission U.S. Supreme Court Transcript of Record with Supporting ...
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15
National Licenses: 41-3031.00 - Securities, Commodities, and ...
https://www.onetonline.org/link/locallicenses/41-3031.00%20%20%20%20%20?st=
› link › locallicenses
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https://www.onetonline.org/link/locallicenses/41-3031.00%20%20%20%20%20?st=
› link › locallicenses
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16
SWIB's Hellmer Named to SEC Investor Advisory Committee
https://etf.wi.gov/news/swibs-hellmer-named-sec-investor-advisory-committee
The U.S. Securities and Exchange Commission has appointed SWIB's Brian ... this role on the committee as an opportunity to advocate on behalf of Wisconsin ...
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https://etf.wi.gov/news/swibs-hellmer-named-sec-investor-advisory-committee
The U.S. Securities and Exchange Commission has appointed SWIB's Brian ... this role on the committee as an opportunity to advocate on behalf of Wisconsin ...
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17
Wisconsin Department of Financial Institutions Joins with 31 ...
https://urbanmilwaukee.com/pressrelease/wisconsin-department-of-financial-institutions-joins-with-31-other-state-securities-regulators-and-the-u-s-securities-and-exchange-commission-to-settle-with-digital-asset-lending-platform-blockfi-for/
The DFI's Division of Securities can be contacted by phone at (608) 266-2139 or by email at [email protected].
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https://urbanmilwaukee.com/pressrelease/wisconsin-department-of-financial-institutions-joins-with-31-other-state-securities-regulators-and-the-u-s-securities-and-exchange-commission-to-settle-with-digital-asset-lending-platform-blockfi-for/
The DFI's Division of Securities can be contacted by phone at (608) 266-2139 or by email at [email protected].
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18
Wisconsin Department of Financial Institutions - Wikipedia
https://en.wikipedia.org/wiki/Wisconsin_Department_of_Financial_Institutions
Wisconsin Bank Comptroller (1853–1868); Wisconsin Department of Banking (1903–1967); Wisconsin Department of Securities (1939–1967); Wisconsin Commissioner ...
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https://en.wikipedia.org/wiki/Wisconsin_Department_of_Financial_Institutions
Wisconsin Bank Comptroller (1853–1868); Wisconsin Department of Banking (1903–1967); Wisconsin Department of Securities (1939–1967); Wisconsin Commissioner ...
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19
Wis. Admin. Code Department of Financial Institutions § DFI ...
https://www.law.cornell.edu/regulations/wisconsin/Wis-Admin-Code-Department-of-Financial-Institutions-SS-DFI-Sec-3.03
THESE SECURITIES HAVE NOT BEEN RECOMMENDED BY ANY FEDERAL OR STATE SECURITIES COMMISSION OR REGULATORY AUTHORITY. FURTHERMORE, THE FOREGOING AUTHORITIES HAVE ...
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https://www.law.cornell.edu/regulations/wisconsin/Wis-Admin-Code-Department-of-Financial-Institutions-SS-DFI-Sec-3.03
THESE SECURITIES HAVE NOT BEEN RECOMMENDED BY ANY FEDERAL OR STATE SECURITIES COMMISSION OR REGULATORY AUTHORITY. FURTHERMORE, THE FOREGOING AUTHORITIES HAVE ...
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20
Securities and Investment Law | Wisconsin Attorney's
http://www.pittslaw.com/_pittslaw.09_/Pages/securities_and_investment_law.html
Pioneering through the morass of securities law can be quite overwhelming for ... the NASD and Securities and Exchange Commission have sharpened their ...
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http://www.pittslaw.com/_pittslaw.09_/Pages/securities_and_investment_law.html
Pioneering through the morass of securities law can be quite overwhelming for ... the NASD and Securities and Exchange Commission have sharpened their ...
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21
New Jersey Division of Consumer Affairs Press Release
https://www.njconsumeraffairs.gov/News/Pages/05112022BOS.aspx
The actions were filed by the Alabama Securities Commission, ... Alabama, Kentucky, New Jersey, Wisconsin and Texas filed today's actions to ...
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https://www.njconsumeraffairs.gov/News/Pages/05112022BOS.aspx
The actions were filed by the Alabama Securities Commission, ... Alabama, Kentucky, New Jersey, Wisconsin and Texas filed today's actions to ...
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22
the wisconsin securities law - by wh twenhofel introduction
https://pubs.geoscienceworld.org/aapgbull/article-pdf/5/1/29/4347189/aapg_1921_0005_0001_0029.pdf
The Wisconsin Securities Law is administered by the. Securities Division of the Railroad Commission. Since it went into effect, August, 1919, ...
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https://pubs.geoscienceworld.org/aapgbull/article-pdf/5/1/29/4347189/aapg_1921_0005_0001_0029.pdf
The Wisconsin Securities Law is administered by the. Securities Division of the Railroad Commission. Since it went into effect, August, 1919, ...
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23
Wisconsin Securities Regulator Joins SEC Investor Advisory ...
https://www.thinkadvisor.com/2020/12/04/wisconsin-securities-regulator-van-buskirk-joins-sec-investor-advisory-committee/
Van Buskirk replaces Iowa Deputy Insurance Commissioner Craig Goettsch, who has represented state securities regulators on the committee since ...
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https://www.thinkadvisor.com/2020/12/04/wisconsin-securities-regulator-van-buskirk-joins-sec-investor-advisory-committee/
Van Buskirk replaces Iowa Deputy Insurance Commissioner Craig Goettsch, who has represented state securities regulators on the committee since ...
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24
CFTC Charges Wisconsin Woman and Her Companies with ...
https://www.cftc.gov/PressRoom/PressReleases/8513-22
Washington, D.C. — The Commodity Futures Trading Commission today ... Division of Securities (WDFI), issued a Final Order by Consent to ...
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https://www.cftc.gov/PressRoom/PressReleases/8513-22
Washington, D.C. — The Commodity Futures Trading Commission today ... Division of Securities (WDFI), issued a Final Order by Consent to ...
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25
BrokerCheck - Find a broker, investment or financial advisor
https://brokercheck.finra.org/
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), ...
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https://brokercheck.finra.org/
BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), ...
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26
Regulatory Agencies - 40act.com
https://40act.com/community/link-lists/regulatory-agencies
Arizona Corporation Commission - Securities Division. http://www.azcc.gov/divisions/securities/ ... Wisconsin Department of Financial Institutions.
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https://40act.com/community/link-lists/regulatory-agencies
Arizona Corporation Commission - Securities Division. http://www.azcc.gov/divisions/securities/ ... Wisconsin Department of Financial Institutions.
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27
Five States File Enforcement Actions to Stop Russian ...
https://www.ssb.texas.gov/sites/default/files/2022-05/FlamingoPressRelease.pdf
the Alabama Securities Commission, Kentucky Department of Financial ... of Securities, Texas State Securities Board, and Wisconsin Division ...
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https://www.ssb.texas.gov/sites/default/files/2022-05/FlamingoPressRelease.pdf
the Alabama Securities Commission, Kentucky Department of Financial ... of Securities, Texas State Securities Board, and Wisconsin Division ...
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28
Indiana Securities Division
https://securities.sos.in.gov/
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https://securities.sos.in.gov/
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29
Securities Links
https://www.sec.state.ma.us/sct/sctlink/linkidx.htm
Secretary of the Commonwealth of Massachusetts. State government. www.sec.state.ma.us ; U.S. Securities and Exchange Commission; Enforcement Division. Federal ...
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https://www.sec.state.ma.us/sct/sctlink/linkidx.htm
Secretary of the Commonwealth of Massachusetts. State government. www.sec.state.ma.us ; U.S. Securities and Exchange Commission; Enforcement Division. Federal ...
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30
The Wisconsin Uniform Securities Act
https://www.wisbar.org/NewsPublications/WisconsinLawyer/Pages/Article.aspx?Volume=82&Issue=10&ArticleID=1819
Wisconsin's securities-law statutes appear in Wis. ... that the Securities and Exchange Commission would be the only agency that could determine whether an ...
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https://www.wisbar.org/NewsPublications/WisconsinLawyer/Pages/Article.aspx?Volume=82&Issue=10&ArticleID=1819
Wisconsin's securities-law statutes appear in Wis. ... that the Securities and Exchange Commission would be the only agency that could determine whether an ...
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31
Prohibited conduct, Wis. Admin. Code DFI-Sec § 4.06 - Casetext
https://casetext.com/regulation/wisconsin-administrative-code/agency-department-of-financial-institutions/department-of-financial-institutions-securities/chapter-dfi-sec-4-registration-of-broker-dealers-and-agents/section-dfi-sec-406-prohibited-conduct
... customer's account securities positions and balances to another broker-dealer; ... as permitted by rules of the U.S. securities and exchange commission; ...
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https://casetext.com/regulation/wisconsin-administrative-code/agency-department-of-financial-institutions/department-of-financial-institutions-securities/chapter-dfi-sec-4-registration-of-broker-dealers-and-agents/section-dfi-sec-406-prohibited-conduct
... customer's account securities positions and balances to another broker-dealer; ... as permitted by rules of the U.S. securities and exchange commission; ...
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32
Wisconsin Power and Light Company Prices Public Offering of ...
https://alliantenergy.gcs-web.com/news-releases/news-release-details/wisconsin-power-and-light-company-prices-public-offering-green-0
Wisconsin Power and Light Company Prices Public Offering of Green Bonds ... with the Securities and Exchange Commission (the “Commission”).
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https://alliantenergy.gcs-web.com/news-releases/news-release-details/wisconsin-power-and-light-company-prices-public-offering-green-0
Wisconsin Power and Light Company Prices Public Offering of Green Bonds ... with the Securities and Exchange Commission (the “Commission”).
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33
Wisconsin Statutes Securities and Investment (Ch. 551 to 553 ...
https://codes.findlaw.com/wi/securities-and-investment-ch-551-to-553/wi-st-551-412.html
The securities or other financial services regulator of a state or the Securities and Exchange Commission or other federal agency denying, revoking, ...
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https://codes.findlaw.com/wi/securities-and-investment-ch-551-to-553/wi-st-551-412.html
The securities or other financial services regulator of a state or the Securities and Exchange Commission or other federal agency denying, revoking, ...
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34
Regulation of Sale of Securities, With Reference to Wisconsin ...
https://scholarship.law.marquette.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=4670&context=mulr
*Director of Securities, Division of Railroad Commission of Wisconsin. "'Address delivered at the Wisconsin State Bar Association," June 28,.
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https://scholarship.law.marquette.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=4670&context=mulr
*Director of Securities, Division of Railroad Commission of Wisconsin. "'Address delivered at the Wisconsin State Bar Association," June 28,.
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35
united states district court
https://www.law.du.edu/documents/corporate-governance/sec-and-governance/SEC-v-Bauer-Original-Opinion.pdf
UNITED STATES DISTRICT COURT. EASTERN DISTRICT OF WISCONSIN. SECURITIES AND EXCHANGE. COMMISSION,. Plaintiff, v. Case No. 03-C-1427. JILAINE H. BAUER,.
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https://www.law.du.edu/documents/corporate-governance/sec-and-governance/SEC-v-Bauer-Original-Opinion.pdf
UNITED STATES DISTRICT COURT. EASTERN DISTRICT OF WISCONSIN. SECURITIES AND EXCHANGE. COMMISSION,. Plaintiff, v. Case No. 03-C-1427. JILAINE H. BAUER,.
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36
Daniel E. Jensen v. Commissioner of Securities of the State of ...
https://www.wicourts.gov/ca/opinion/DisplayDocument.html?content=html&seqNo=11814
STATE OF WISCONSIN ... In October 1995, Jensen petitioned the current Commissioner of Securities, Patricia Struck, for an order to hold a hearing to ...
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https://www.wicourts.gov/ca/opinion/DisplayDocument.html?content=html&seqNo=11814
STATE OF WISCONSIN ... In October 1995, Jensen petitioned the current Commissioner of Securities, Patricia Struck, for an order to hold a hearing to ...
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37
Best Wisconsin Litigation - Securities Lawyers
https://www.bestlawyers.com/united-states/wisconsin/litigation-securities
Find Lawyers in Wisconsin, United States for Litigation - Securities ... such as the Securities and Exchange Commission (SEC) or the Commodity Futures ...
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https://www.bestlawyers.com/united-states/wisconsin/litigation-securities
Find Lawyers in Wisconsin, United States for Litigation - Securities ... such as the Securities and Exchange Commission (SEC) or the Commodity Futures ...
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38
Milwaukee Securities Attorneys | Investment Lawyers | MTFN
https://www.mtfn.com/practice-areas/securities-attorneys/
Preparing and filing annual, quarterly, and interim reports with the Securities and Exchange Commission and EDGAR; Advising clients on ...
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https://www.mtfn.com/practice-areas/securities-attorneys/
Preparing and filing annual, quarterly, and interim reports with the Securities and Exchange Commission and EDGAR; Advising clients on ...
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39
Information About Commissions, Markups and Sales Charges ...
https://www.bairdwealth.com/globalassets/pdfs/help/commission-schedule-brokerage-accounts.pdf
777 East Wisconsin Avenue, Milwaukee, Wisconsin 53202. 1-800-RW-BAIRD. www.rwbaird.com ... the SEC under Section 31 of the Securities Exchange Act of 1934.
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https://www.bairdwealth.com/globalassets/pdfs/help/commission-schedule-brokerage-accounts.pdf
777 East Wisconsin Avenue, Milwaukee, Wisconsin 53202. 1-800-RW-BAIRD. www.rwbaird.com ... the SEC under Section 31 of the Securities Exchange Act of 1934.
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40
Find Financial Advisors by State Or Territory - Merrill Lynch
https://fa.ml.com/wisconsin
... Virginia · Washington · West Virginia · Wisconsin · Wyoming ... There is always the potential of losing money when you invest in securities.
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https://fa.ml.com/wisconsin
... Virginia · Washington · West Virginia · Wisconsin · Wyoming ... There is always the potential of losing money when you invest in securities.
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41
Financial Advisor in Wisconsin - U.S. Bancorp Investments
https://www.usbank.com/wealth-management/find-an-advisor/wi.html
U.S. Bancorp Investments is registered with the Securities and Exchange Commission as both a broker-dealer and an investment adviser.
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https://www.usbank.com/wealth-management/find-an-advisor/wi.html
U.S. Bancorp Investments is registered with the Securities and Exchange Commission as both a broker-dealer and an investment adviser.
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42
PUBLIC SERVICE COMMISSION OF WISCONSIN
https://www.sechistorical.org/collection/papers/1930/1933_0403_BerleMathewsT.pdf
Director, Securities Division. GCM:MLB. PUBLIC SERVICE COMMISSION OF WISCONSIN ... In view of the fact that the statement to be filed with the Commission ...
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https://www.sechistorical.org/collection/papers/1930/1933_0403_BerleMathewsT.pdf
Director, Securities Division. GCM:MLB. PUBLIC SERVICE COMMISSION OF WISCONSIN ... In view of the fact that the statement to be filed with the Commission ...
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43
Current Report 8-K - SEC Report
https://sec.report/Document/0001193125-22-225815/
SECURITIES AND EXCHANGE COMMISSION ... On August 19, 2022, Air Wisconsin Airlines LLC (“Air Wisconsin”), which is an indirect wholly owned ...
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https://sec.report/Document/0001193125-22-225815/
SECURITIES AND EXCHANGE COMMISSION ... On August 19, 2022, Air Wisconsin Airlines LLC (“Air Wisconsin”), which is an indirect wholly owned ...
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44
SEC Filing - Fiserv, Inc.
https://newsroom.fiserv.com/node/32836/html
333-45841 SECURITIES AND EXCHANGE COMMISSION Washington, ... Inc. 255 Fiserv Drive Brookfield, Wisconsin 53045 (414) 879-5000 (Name, address, including zip ...
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https://newsroom.fiserv.com/node/32836/html
333-45841 SECURITIES AND EXCHANGE COMMISSION Washington, ... Inc. 255 Fiserv Drive Brookfield, Wisconsin 53045 (414) 879-5000 (Name, address, including zip ...
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45
THE NEW WISCONSIN UNIFORM SECURITIES LAW - JSTOR
https://www.jstor.org/stable/40684938
Member, Wisconsin Bar; Secretary of Governor's Advisory Committee to the Office of the Commissioner of Securities, State of Wisconsin.
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https://www.jstor.org/stable/40684938
Member, Wisconsin Bar; Secretary of Governor's Advisory Committee to the Office of the Commissioner of Securities, State of Wisconsin.
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46
Jeffrey B. Bartell
https://www.quarles.com/content/uploads/pdf/jeffrey-b-bartell.pdf
the Securities Division of the Wisconsin Division of Financial. Institutions. •. Represented the Wisconsin Commissioner of Insurance in a 10-year.
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https://www.quarles.com/content/uploads/pdf/jeffrey-b-bartell.pdf
the Securities Division of the Wisconsin Division of Financial. Institutions. •. Represented the Wisconsin Commissioner of Insurance in a 10-year.
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47
In Memoriam: Patricia D. Struck - American Bar Association
https://www.americanbar.org/groups/law_aging/publications/bifocal/vol_37/issue_2_december2015/in-memoriam-patty-struck/
We were shocked and saddened to learn that Commission member Patricia ... of the Securities Division of Wisconsin's Department of Financial ...
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https://www.americanbar.org/groups/law_aging/publications/bifocal/vol_37/issue_2_december2015/in-memoriam-patty-struck/
We were shocked and saddened to learn that Commission member Patricia ... of the Securities Division of Wisconsin's Department of Financial ...
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48
Principal® Financial Network of Wisconsin
https://www.principal.com/wisconsin
Principal® Financial Network of Wisconsin is a group of offices representing ... as well as purchase life insurance, annuities, securities and investments.
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https://www.principal.com/wisconsin
Principal® Financial Network of Wisconsin is a group of offices representing ... as well as purchase life insurance, annuities, securities and investments.
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49
Madison Securities Law Attorneys - Murphy Desmond S.C.
https://www.murphydesmond.com/securities-law
Rated a "Tier 1" law firm in Securities in Madison, Wisconsin, by Best Lawyers since 2010, Murphy Desmond is adept at handling a wide range of securities ...
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https://www.murphydesmond.com/securities-law
Rated a "Tier 1" law firm in Securities in Madison, Wisconsin, by Best Lawyers since 2010, Murphy Desmond is adept at handling a wide range of securities ...
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50
Press Release KBRA Releases Report Upgrading State of ...
https://content.govdelivery.com/attachments/WIGOV/2021/08/26/file_attachments/1916743/KBRA%20Releases%20Report%20Upgrading%20State%20of%20Wisconsin%20GO%20Bonds%20to%20AAA%20and%20Master%20Lease%20COPs%20to%20AA%2B;%20Assigning%20GO%20Refunding%20Bonds%20of%202021,%20Series%204%20%28Taxable%29%20AAA.pdf
KBRA Releases Report Upgrading State of Wisconsin GO Bonds to AAA and ... rating organization by the Ontario Securities Commission for ...
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https://content.govdelivery.com/attachments/WIGOV/2021/08/26/file_attachments/1916743/KBRA%20Releases%20Report%20Upgrading%20State%20of%20Wisconsin%20GO%20Bonds%20to%20AAA%20and%20Master%20Lease%20COPs%20to%20AA%2B;%20Assigning%20GO%20Refunding%20Bonds%20of%202021,%20Series%204%20%28Taxable%29%20AAA.pdf
KBRA Releases Report Upgrading State of Wisconsin GO Bonds to AAA and ... rating organization by the Ontario Securities Commission for ...
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51
Former Wisconsin Advisor Gets 84 Months in Prison for Fraud
https://www.wealthmanagement.com/regulation-compliance/former-wisc-advisor-gets-84-months-prison-fraud
The Securities and Exchange Commission obtained a partial judgement against him in a separate complaint in November 2021.
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https://www.wealthmanagement.com/regulation-compliance/former-wisc-advisor-gets-84-months-prison-fraud
The Securities and Exchange Commission obtained a partial judgement against him in a separate complaint in November 2021.
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52
Share Class Information | Voya Investment Management
https://529wi.voya.com/page/share-class-information
Voya Investments Distributor, LLC, the distributor of the Wisconsin advisor-sold 529 plans, is registered with the U.S. Securities and Exchange Commission ...
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https://529wi.voya.com/page/share-class-information
Voya Investments Distributor, LLC, the distributor of the Wisconsin advisor-sold 529 plans, is registered with the U.S. Securities and Exchange Commission ...
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53
Corporate Finance Securities Attorneys Wisconsin - Ruder Ware
https://www.ruderware.com/practice_areas/business-transactions/corporate-finance-securities/
Advising clients regarding corporate governance matters, including board of directors committee composition and duties and determination of “independence” and “ ...
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https://www.ruderware.com/practice_areas/business-transactions/corporate-finance-securities/
Advising clients regarding corporate governance matters, including board of directors committee composition and duties and determination of “independence” and “ ...
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54
Guide to State Investment Adviser Registration for Private Funds
https://www.strictlybusinesslawblog.com/guide-state-investment-adviser-registration-requirements-for-private-fund-advisers/
... from registering with the Securities and Exchange Commission (“SEC”) ... adviser registration any person whose only clients in Wisconsin ...
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https://www.strictlybusinesslawblog.com/guide-state-investment-adviser-registration-requirements-for-private-fund-advisers/
... from registering with the Securities and Exchange Commission (“SEC”) ... adviser registration any person whose only clients in Wisconsin ...
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55
1 UNITED STATES SECURITIES AND EXCHANGE ...
https://ir.fticonsulting.com/static-files/adf9a132-80b9-4907-84bb-d1aba7603b66
SECURITIES AND EXCHANGE COMMISSION ... UNDER THE SECURITIES EXCHANGE ACT OF 1934 ... OF WISCONSIN INVESTMENT BOARD IS A GOVERNMENT AGENCY WHICH MANAGES.
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https://ir.fticonsulting.com/static-files/adf9a132-80b9-4907-84bb-d1aba7603b66
SECURITIES AND EXCHANGE COMMISSION ... UNDER THE SECURITIES EXCHANGE ACT OF 1934 ... OF WISCONSIN INVESTMENT BOARD IS A GOVERNMENT AGENCY WHICH MANAGES.
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56
5 Wisconsin School Districts and 3 Ill-Fated Securities
https://www.nytimes.com/2011/08/21/business/5-wisconsin-school-districts-and-3-ill-fated-securities.html
The Securities and Exchange Commission has sued Stifel Financial, a regional brokerage firm in St. Louis, accusing it of fraud in connection ...
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https://www.nytimes.com/2011/08/21/business/5-wisconsin-school-districts-and-3-ill-fated-securities.html
The Securities and Exchange Commission has sued Stifel Financial, a regional brokerage firm in St. Louis, accusing it of fraud in connection ...
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57
Wisconsin - Securities Arbitration & Investment Fraud Lawyers
https://securitiesarbitrations.com/investor-resources/wisconsin/
Wisconsin state securities laws, state regulators and FINRA Arbitration Hearing Locations. Recover Your Investment Losses.
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https://securitiesarbitrations.com/investor-resources/wisconsin/
Wisconsin state securities laws, state regulators and FINRA Arbitration Hearing Locations. Recover Your Investment Losses.
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58
Wisconsin Investment Advisory Rules - Hedge Fund Law Blog
https://hedgefundlawblog.com/wisconsin-based-hedge-funds-%E2%80%93-wisconsin-investment-advisory-rules.html
Changes in the Wisconsin Uniform Securities Law effective July 9, 1998 now require certain persons representing state-licensed investment ...
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https://hedgefundlawblog.com/wisconsin-based-hedge-funds-%E2%80%93-wisconsin-investment-advisory-rules.html
Changes in the Wisconsin Uniform Securities Law effective July 9, 1998 now require certain persons representing state-licensed investment ...
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59
Wisconsin Investment Series Cooperative: WISC | Investment ...
https://investwisc.com/
WISC is governed by a commission of representatives from participating entities that has the full power, control and authority over the affairs, ...
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https://investwisc.com/
WISC is governed by a commission of representatives from participating entities that has the full power, control and authority over the affairs, ...
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60
The United States Social Security Administration
https://www.ssa.gov/
This program, administered by the Federal Communications Commission, helps households get access to broadband. Learn more at our blog.
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https://www.ssa.gov/
This program, administered by the Federal Communications Commission, helps households get access to broadband. Learn more at our blog.
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61
Wisconsin Securities Laws
https://www.securitiesfraudlawyerblog.net/wisconsin-securities-laws/
The Securities and Exchange Commission enforces the United States securities laws through enforcement proceedings and by interpreting the ...
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https://www.securitiesfraudlawyerblog.net/wisconsin-securities-laws/
The Securities and Exchange Commission enforces the United States securities laws through enforcement proceedings and by interpreting the ...
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62
CD-2004-0020 - Alabama Securities Commission
https://asc.alabama.gov/Orders/2004/CD-2004-0020.pdf
On February 12, 1998, the Wisconsin Department of Financial Institutions,. Division of Securities issued an Order of Prohibition (Consent) File No. S-.
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https://asc.alabama.gov/Orders/2004/CD-2004-0020.pdf
On February 12, 1998, the Wisconsin Department of Financial Institutions,. Division of Securities issued an Order of Prohibition (Consent) File No. S-.
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63
Forex Trader Used Investor Cash on BTS Concert Tickets ...
https://news.bloomberglaw.com/securities-law/forex-trader-used-investor-cash-on-bts-concert-tickets-sec-says
... according to the Securities and Exchange Commission complaint filed in the U.S. District Court for the Eastern District of Wisconsin.
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https://news.bloomberglaw.com/securities-law/forex-trader-used-investor-cash-on-bts-concert-tickets-sec-says
... according to the Securities and Exchange Commission complaint filed in the U.S. District Court for the Eastern District of Wisconsin.
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64
Coordinated Capital Securities – Experience. Independence ...
https://www.ccsmadison.com/
Coordinated Capital Securities is a privately held independent broker-dealer and SEC-registered investment adviser. Established in 1983, we have the ...
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https://www.ccsmadison.com/
Coordinated Capital Securities is a privately held independent broker-dealer and SEC-registered investment adviser. Established in 1983, we have the ...
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65
Stifel, ex-executive settle SEC case over Wisconsin school ...
https://www.reuters.com/article/us-stifel-financial-wisconsin-sec/stifel-ex-executive-settle-sec-case-over-wisconsin-school-investments-idUSKBN13X1P9
The U.S. Securities and Exchange Commission announced the deal on Thursday. As part of the settlement, St. Louis-based Stifel, Nicolaus & Co and ...
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https://www.reuters.com/article/us-stifel-financial-wisconsin-sec/stifel-ex-executive-settle-sec-case-over-wisconsin-school-investments-idUSKBN13X1P9
The U.S. Securities and Exchange Commission announced the deal on Thursday. As part of the settlement, St. Louis-based Stifel, Nicolaus & Co and ...
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66
Our history | Wisconsin Public Service
https://www.wisconsinpublicservice.com/company/history
The company was owned by the Wisconsin Securities Company, which bought and sold utility ... With approval of the Public Service Commission of Wisconsin, ...
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https://www.wisconsinpublicservice.com/company/history
The company was owned by the Wisconsin Securities Company, which bought and sold utility ... With approval of the Public Service Commission of Wisconsin, ...
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67
National and State Resources - The Frankowski Firm
https://frankowskifirm.com/resources/national-and-state-resources/
Wisconsin. West Virginia. Wyoming. State Resources. ALABAMA. Alabama Securities Commission The ASC protects investors from securities fraud and preserves ...
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https://frankowskifirm.com/resources/national-and-state-resources/
Wisconsin. West Virginia. Wyoming. State Resources. ALABAMA. Alabama Securities Commission The ASC protects investors from securities fraud and preserves ...
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68
Federal regulators examining Wisconsin Funeral Trust's ...
https://archive.jsonline.com/watchdog/watchdogreports/federal-regulators-examining-wisconsin-funeral-trusts-moneymanagement-strategies-ts98up3-199781421.html
The U.S. Securities and Exchange Commission is examining the trust's money management, the Journal Sentinel has learned, after it poured ...
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https://archive.jsonline.com/watchdog/watchdogreports/federal-regulators-examining-wisconsin-funeral-trusts-moneymanagement-strategies-ts98up3-199781421.html
The U.S. Securities and Exchange Commission is examining the trust's money management, the Journal Sentinel has learned, after it poured ...
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69
Download DOC - Activision Blizzard | Investor Relations
https://investor.activision.com/static-files/d95cded5-eba1-4cbb-831a-688fb5038652
THESE SECURITIES HAVE NOT BEEN APPROVED OR DISAPPROVED BY THE SECURITIES AND EXCHANGE COMMISSION OR ANY STATE SECURITIES COMMISSION NOR HAS THE COMMISSION ...
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https://investor.activision.com/static-files/d95cded5-eba1-4cbb-831a-688fb5038652
THESE SECURITIES HAVE NOT BEEN APPROVED OR DISAPPROVED BY THE SECURITIES AND EXCHANGE COMMISSION OR ANY STATE SECURITIES COMMISSION NOR HAS THE COMMISSION ...
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70
Molina Healthcare to Acquire My Choice Wisconsin
https://investors.molinahealthcare.com/news-releases/news-release-details/molina-healthcare-acquire-my-choice-wisconsin
“The addition of My Choice Wisconsin to Molina's expanding footprint is ... reports and filings with the Securities and Exchange Commission ...
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https://investors.molinahealthcare.com/news-releases/news-release-details/molina-healthcare-acquire-my-choice-wisconsin
“The addition of My Choice Wisconsin to Molina's expanding footprint is ... reports and filings with the Securities and Exchange Commission ...
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71
THE NEW WISCONSIN UNIFORM SECURITIES LAW By
http://heinonline.org/hol-cgi-bin/get_pdf.cgi?handle=hein.journals/busl25§ion=18
Member, Wisconsin Bar; Secretary of Governor's Advisory Committee to the Office of the Commissioner of Securities, State of Wisconsin.
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http://heinonline.org/hol-cgi-bin/get_pdf.cgi?handle=hein.journals/busl25§ion=18
Member, Wisconsin Bar; Secretary of Governor's Advisory Committee to the Office of the Commissioner of Securities, State of Wisconsin.
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72
Terms and Conditions | Wisconsin Foundation & Alumni ...
https://advanceuw.org/terms-and-conditions/
The Wisconsin Foundation and Alumni Association (“WFAA”) provides this website ... regulations promulgated by the U.S. Securities and Exchange Commission, ...
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https://advanceuw.org/terms-and-conditions/
The Wisconsin Foundation and Alumni Association (“WFAA”) provides this website ... regulations promulgated by the U.S. Securities and Exchange Commission, ...
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73
OHIO SECURITIES BULLETIN
https://www.com.ohio.gov/documents/BUL021.pdf
The Ohio Division of Securities had requested the TRO against Shiflett, a Powell resident, and his companies. The TRO prohibits Shiflett and the other ...
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https://www.com.ohio.gov/documents/BUL021.pdf
The Ohio Division of Securities had requested the TRO against Shiflett, a Powell resident, and his companies. The TRO prohibits Shiflett and the other ...
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74
Canadians think Wisconsin is a business paradise - BizTimes
https://biztimes.com/canadians-think-wisconsin-is-a-business-paradise/
Wisconsin does nothing to encourage entrepreneurship or development ... Securities Commission, recently returned from a trip to Wisconsin, ...
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https://biztimes.com/canadians-think-wisconsin-is-a-business-paradise/
Wisconsin does nothing to encourage entrepreneurship or development ... Securities Commission, recently returned from a trip to Wisconsin, ...
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75
State of Utah Department of Commerce
https://securities.utah.gov/wp-content/uploads/2021/09/B01050166.pdf
On behalf of Green Bay Packers, Inc., a Wisconsin nonprofit stock corporation (the ... Letter") from the Securities and Exchange Commission dated August 26,.
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https://securities.utah.gov/wp-content/uploads/2021/09/B01050166.pdf
On behalf of Green Bay Packers, Inc., a Wisconsin nonprofit stock corporation (the ... Letter") from the Securities and Exchange Commission dated August 26,.
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76
FORMER CHIEF FINANCIAL OFFICER AT PUBLICLY ...
https://www.justice.gov/usao-edwi/pr/former-chief-financial-officer-publicly-traded-transportation-company-charged-245
Peter R. Armbruster, 60, of Milwaukee, Wisconsin, was charged in a ... The Securities and Exchange Commission also provided assistance in ...
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https://www.justice.gov/usao-edwi/pr/former-chief-financial-officer-publicly-traded-transportation-company-charged-245
Peter R. Armbruster, 60, of Milwaukee, Wisconsin, was charged in a ... The Securities and Exchange Commission also provided assistance in ...
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77
Arizona Corporation Commission
https://azcc.gov/Divisions/Securities/Enforcement/Orders/1989/Decision%2056597.pdf
Commissioner. BEFORE THE ARIZONA CORPORATION COMMIĮ. IN THE MATTER OF THE OFFERING. OF SECURITIES BY: CORPORATION,. WISCONSIN DISCOUNT ...
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https://azcc.gov/Divisions/Securities/Enforcement/Orders/1989/Decision%2056597.pdf
Commissioner. BEFORE THE ARIZONA CORPORATION COMMIĮ. IN THE MATTER OF THE OFFERING. OF SECURITIES BY: CORPORATION,. WISCONSIN DISCOUNT ...
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78
State Securities Administration Letter to Commissioners 11-13 ...
https://www.tn.gov/content/dam/tn/commerce/documents/securities/posts/State-Secs-Admin_Letter-to-Comissioners_11-13-2020.pdf
United States Securities and Exchange Commission ... S-236789. (EX), Wisconsin Dept. of Financial Institutions (Oct. 14, 2020), available at.
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https://www.tn.gov/content/dam/tn/commerce/documents/securities/posts/State-Secs-Admin_Letter-to-Comissioners_11-13-2020.pdf
United States Securities and Exchange Commission ... S-236789. (EX), Wisconsin Dept. of Financial Institutions (Oct. 14, 2020), available at.
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79
KBRA Releases Report Assigning AAA, Stable Outlook to ...
https://www.businesswire.com/news/home/20220510006462/en/KBRA-Releases-Report-Assigning-AAA-Stable-Outlook-to-State-of-Wisconsin-G.O.-Bonds
... rating of AAA with a Stable Outlook to the State of Wisconsin's (the ... Securities Commission for issuers of asset-backed securities to ...
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https://www.businesswire.com/news/home/20220510006462/en/KBRA-Releases-Report-Assigning-AAA-Stable-Outlook-to-State-of-Wisconsin-G.O.-Bonds
... rating of AAA with a Stable Outlook to the State of Wisconsin's (the ... Securities Commission for issuers of asset-backed securities to ...
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80
Uniform Application To Register Securities {U-1} | Pdf Fpdf Docx
https://www.formsworkflow.com/form/details/113574-wisconsin-uniform-application-to-register-securities
Wisconsin Secretary Of State Blue Sky Securities ... Amount ($) Total: Maximum commission to be charged: Filing/examination fees enclosed?
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https://www.formsworkflow.com/form/details/113574-wisconsin-uniform-application-to-register-securities
Wisconsin Secretary Of State Blue Sky Securities ... Amount ($) Total: Maximum commission to be charged: Filing/examination fees enclosed?
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81
SEC Announces Fraud Charges Related to Wisconsin ...
https://thediwire.com/sec-announces-fraud-charges-related-to-wisconsin-investment-fund/
The Securities and Exchange Commission has charged a handful of individuals and their companies with fraud and other violations in ...
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https://thediwire.com/sec-announces-fraud-charges-related-to-wisconsin-investment-fund/
The Securities and Exchange Commission has charged a handful of individuals and their companies with fraud and other violations in ...
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82
Director of Athletics University of Wisconsin - Green Bay
https://www.nicoletbank.com/blog/charles-guthrie/
Nicolet Advisory Services, LLC, is an investment adviser, registered with the U.S. Securities and Exchange Commission, and an affiliate of ...
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https://www.nicoletbank.com/blog/charles-guthrie/
Nicolet Advisory Services, LLC, is an investment adviser, registered with the U.S. Securities and Exchange Commission, and an affiliate of ...
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83
Contact Us | Investor.gov
https://www.investor.gov/contact-us
U.S. Securities and Exchange Commission Office of Investor Education and Advocacy 100 F Street, NE Washington, DC 20549-0213 ...
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https://www.investor.gov/contact-us
U.S. Securities and Exchange Commission Office of Investor Education and Advocacy 100 F Street, NE Washington, DC 20549-0213 ...
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84
SEC charges Wisconsin Hmong woman for securities fraud
https://hmongdailynews.com/sec-charges-wisconsin-hmong-woman-for-securities-fraud-p369-118.htm
Yang and her company, Xapphire, LLC, have been charged by the U.S. Securities and Exchange Commission (SEC) for raising $16.5 million by ...
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https://hmongdailynews.com/sec-charges-wisconsin-hmong-woman-for-securities-fraud-p369-118.htm
Yang and her company, Xapphire, LLC, have been charged by the U.S. Securities and Exchange Commission (SEC) for raising $16.5 million by ...
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85
Public Utility Regulations, Operation & Financing
https://www.axley.com/practice_area/business-corporate-securities/public-utility-regulations-operation-financing/
Regulatory approval process for siting construction utility facilities and other infrastructure from the Public Service Commission of Wisconsin (PSC), ...
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https://www.axley.com/practice_area/business-corporate-securities/public-utility-regulations-operation-financing/
Regulatory approval process for siting construction utility facilities and other infrastructure from the Public Service Commission of Wisconsin (PSC), ...
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86
KBRA Releases Report Assigning AAA Rating, Stable Outlook ...
https://www.streetinsider.com/Business+Wire/KBRA+Releases+Report+Assigning+AAA+Rating%2C+Stable+Outlook+to+State+of+Wisconsin+G.O.+Refunding+Bonds/20570589.html
... Stable Outlook to State of Wisconsin G.O. Refunding Bonds ... Securities Commission for issuers of asset-backed securities to file a ...
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https://www.streetinsider.com/Business+Wire/KBRA+Releases+Report+Assigning+AAA+Rating%2C+Stable+Outlook+to+State+of+Wisconsin+G.O.+Refunding+Bonds/20570589.html
... Stable Outlook to State of Wisconsin G.O. Refunding Bonds ... Securities Commission for issuers of asset-backed securities to file a ...
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87
Wisconsin & Michigan Steamship Company ... - Takealot.com
https://www.takealot.com/wisconsin-michigan-steamship-company-petitioner-v-corporation-an/PLID18963625
Wisconsin & Michigan Steamship Company, Petitioner, V. Corporation and Securities Commission U.S. Supreme Court Transcript of Record with ...
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https://www.takealot.com/wisconsin-michigan-steamship-company-petitioner-v-corporation-an/PLID18963625
Wisconsin & Michigan Steamship Company, Petitioner, V. Corporation and Securities Commission U.S. Supreme Court Transcript of Record with ...
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88
Wisconsin's Environmental Decade, Inc. v. Securities and ...
https://www.courtlistener.com/opinion/527776/wisconsins-environmental-decade-inc-v-securities-and-exchange/
Opinion for Wisconsin's Environmental Decade, Inc. v. Securities and Exchange Commission, Wpl Holdings, Inc.,..., 882 F.2d 523, ...
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https://www.courtlistener.com/opinion/527776/wisconsins-environmental-decade-inc-v-securities-and-exchange/
Opinion for Wisconsin's Environmental Decade, Inc. v. Securities and Exchange Commission, Wpl Holdings, Inc.,..., 882 F.2d 523, ...
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89
Packerland Brokerage: Home
https://www.packerlandbrokerage.com/
Under the Securities and Exchange Commission (SEC) and similar state rules, investment adviser firms are required to provide clients and prospective clients ...
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https://www.packerlandbrokerage.com/
Under the Securities and Exchange Commission (SEC) and similar state rules, investment adviser firms are required to provide clients and prospective clients ...
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90
Morgan Stanley Wisconsin Complex | Waukesha, WI
https://advisor.morganstanley.com/wisconsin-complex
The Wisconsin Complex management team is committed to seeing each financial advisor succeed and continue to grow their business; we work as a team to ensure ...
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https://advisor.morganstanley.com/wisconsin-complex
The Wisconsin Complex management team is committed to seeing each financial advisor succeed and continue to grow their business; we work as a team to ensure ...
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91
Wisconsin & Michigan Steamship Company v. Corporation & ...
https://books.google.com/books?id=5tE0P03krUEC&pg=PT1&lpg=PT1&dq=wisconsin+securities+commission&source=bl&ots=24oqq2TXby&sig=ACfU3U1_kQYThxkzoORwigVSlsGSitqg3g&hl=en&sa=X&ved=2ahUKEwjy_Ii13tH7AhV5lYkEHd2BCn4Q6AF6BQjoAhAD
... 1955 of the Wisconsin & Michigan Steamship Company 10-3-55 Letter from Foster & Meadows to Michigan Corporation and Securities Commission 1-6-56 Letter ...
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https://books.google.com/books?id=5tE0P03krUEC&pg=PT1&lpg=PT1&dq=wisconsin+securities+commission&source=bl&ots=24oqq2TXby&sig=ACfU3U1_kQYThxkzoORwigVSlsGSitqg3g&hl=en&sa=X&ved=2ahUKEwjy_Ii13tH7AhV5lYkEHd2BCn4Q6AF6BQjoAhAD
... 1955 of the Wisconsin & Michigan Steamship Company 10-3-55 Letter from Foster & Meadows to Michigan Corporation and Securities Commission 1-6-56 Letter ...
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92
USAJOBS - The Federal Government's official employment site
https://www.usajobs.gov/
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https://www.usajobs.gov/
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93
Former Altoona financial advisor indicted on federal fraud ...
https://www.weau.com/2021/10/27/former-altoona-financial-advisor-indicted-federal-fraud-charges/
Last month, the Securities and Exchange Commission (SEC) filed a complaint against Shillin. A settlement in that case was made public last ...
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https://www.weau.com/2021/10/27/former-altoona-financial-advisor-indicted-federal-fraud-charges/
Last month, the Securities and Exchange Commission (SEC) filed a complaint against Shillin. A settlement in that case was made public last ...
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