§551.405(3) & (4) and s. DFI-Sec 5.11, Wis. Adm. Code STATE OF WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS DIVISION OF SECURITIES 345 W Washington Ave. 4th Floor (53703) PO Box 1768 Madison, WI 53701-1768 (608) 266-2139 TTY: (608) 266-8818 Internet: www.wdfi.org INSTRUCTIONS FOR RENEWAL OF FEDERAL COVERED ADVISER NOTICE FILING, BRANCH OFFICE NOTICE FILING AND REGISTRATION OF ADVISER REPRESENTATIVES FIRM RENEWAL: Federal Covered Adviser notice filing renewals will be billed from, and must be paid through, the Investment Adviser Registration Depository (“IARD”). On November 16, 2009, a Preliminary Renewal Statement will be available in your Reports queue on IARD. The Preliminary Renewal Statement will show all states that require you to make a renewal filing. See Branch Office Renewals for special instructions. In order to renew the firm’s notice filing, you must deposit the total amount indicated on your Preliminary Renewal Statement into your IARD RENEWAL account. DO NOT SEND YOUR DEPOSIT TO THE DEPARTMENT OF FINANCIAL INSTITUTIONS DIVISION OF SECURITIES. This deposit should be sent to: FINRA, PO Box 77778705, Philadelphia, PA 19175-8705 by December 11, 2009. If the applicant’s status has changed from a federal covered adviser to a state adviser since the last renewal period and you have not notified the Division of Securities of this change, please contact the Division for requirements of this change. BRANCH OFFICE RENEWALS: Federal covered advisers with office locations in Wisconsin where advisory services are offered or performed must make a notice filing with the Division to include the notice filing fee of $80 per branch. If you have already made notice filings for your branch offices in Wisconsin, we are providing you with a list of the branch offices that were listed as open on October 15, 2009. The list includes the CRD branch number if applicable, city and street address and date opened for each office. The offices are listed by branch CRD number if applicable or alphabetically by city. Indicate on the list any branches that have or will be closed before year end and include the closing date. If the closing date is more than 14 days from the anticipated date of receipt of your renewal filing by the Division, include the $100 per branch late filing fee. Please do not submit any address changes on the renewal list—please make a separate filing for those changes. If you have offices in Wisconsin, other than a principal office, that are not on the list, you must immediately send the Division a separate notice with the above information plus the $80 filing fee for 2009, the renewal filing fee of $80 and the $100 late filing fee. PAYMENT FOR BRANCH RENEWALS: The renewal fee for each branch office in Wisconsin is $80. Branch office renewals for federal covered advisers cannot be made via IARD. The check for branch office renewals should be made payable to the Department of Financial Institutions – Division of Securities and sent directly to the Division. If you will be sending these renewals by regular US mail, you may use the address of PO Box 1768, Madison, WI 53701-1768. If you will be using a courier, you must use the address of 345 W. Washington Ave., 4th Fl., Madison, WI 53703. --OVER-DFI/DOS/FARI(WI) (R 9/09) 1 of 2 American LegalNet, Inc. www.FormsWorkFlow.com §551.405(3) & (4) and s. DFI-Sec 5.11, Wis. Adm. Code IA REPRESENTATIVE RENEWALS: Any investment adviser representative who has a place of business in the state must be registered. All investment adviser representatives being renewed will be listed on the Preliminary Renewal Statement. Renewal fees should be included in your payment to the IARD as described above. Form U-4’s for new representative applicants must be filed via the CRD by 1:00 p.m. ET, December 24, 2009. Investment adviser representatives registered between November 13 and December 24 will be included on your Final Renewal Statement available in your Reports queue on January 4, 2010. FILING DEADLINES: The expiration date of a federal covered adviser notice filing, an investment adviser representative registration or a branch office notice under the Wisconsin Uniform Securities Law is December 31st. The branch office notice renewal must be received by the Division, not merely postmarked, NO LATER THAN DECEMBER 1ST. If the renewal is not received by December 1st, a delinquent filing fee of $100 per branch shall be charged pursuant to section DFI-Sec 7.01(6)(d), Wis. Adm. Code. If the branch office renewal filing is not received by December 31st, the branch office notices will expire and a new filing may be necessary. If the firm does not wish to renew its notice filing in Wisconsin, please submit Form ADV-W via the IARD no later than December 24, 2009. Post-dated withdrawals will be accepted by the IARD beginning November 4th. Complete IARD renewal instructions are available online in the Broadcast Messages section of the IARD Main Screen. A record of receipt of your branch office renewal payment will only be provided if you enclose a self-addressed, postage-paid envelope. In your cover letter, please note the name and telephone number of the person to contact with questions regarding your renewal filings. Questions concerning this application may be directed to the Professional Registration & Compliance Bureau of the Division of Securities at (608) 266-2139. FIDUCIARY ACTIVITIES: Wisconsin Statute 221.105 provides that “any organization which holds itself out to residents of this state as available to act, for compensation, as trustee or which seeks or consents to serve in any fiduciary capacity is subject to rules established by the Division of Banking.” Contact the Division of Banking directly at (608) 261-7578 if you have any questions concerning your firm’s fiduciary activity. This information is required under Section 551.405(3) & (4), Wis. Stats. Refusal to provide this information may result in the denial of the registration renewal. Personally identifiable information may be matched against tax information, outstanding child and family support data and law enforcement agencies. Other information requested may also be used for secondary purposes. DFI/DOS/FARI(WI) (R 9/09) 2 of 2 American LegalNet, Inc. www.FormsWorkFlow.com