S.551.32(7) Wis. Stats. and 4.04(8) Wis. Adm. Code STATE OF WISCONSIN DEPARTMENT OF FINANCIAL INSTITUTIONS DIVISION OF SECURITIES 345 West Washington Ave., 4th Fl. PO Box 1768 Madison, WI 53701-1768 (608) 266-3693 TTY: (608) 266-8818 Internet: www.wdfi.org WISCONSIN BROKER-DEALER BRANCH OFFICE RENEWAL Wisconsin Broker-dealer Branch Office notice filing renewals for 2007 will be completed via CRD for the first time. This will be the only communication the firm will receive from the Division about branch office renewals. WHEN THE RENEWAL IS DUE On November 4, 2006, CRD will run its Preliminary Renewal Roster which will be available for firms to view on Monday, November 6th in its Reports folder on CRD. The firm should check the CRD Branch Renewal Roster to ensure all branch offices are included. No other list will be provided by the Division. Any filing to open or close a branch not made by December 20th (when the CRD shuts down for year-end renewal updating) will be delayed until January 2, 2007 when the CRD is again available for data entry. Branch openings and closings must still be filed within 14 days of the effective date of the event. Branches opened or closed prior to December 20th but not updated on CRD within the 14 day time limit may be considered a late filing and subject to a late filing fee of $100 per branch. WHO TO MAKE THE CHECK PAYABLE TO AND WHERE TO SEND IT All payments for Wisconsin branch office notice filings are to be included with the firm’s CRD payment and forwarded per instructions received from CRD. The last date for payment to be received by CRD for 2007 renewals is December 20th. DO NOT SEND ANY BRANCH OFFICE PAYMENTS DIRECTLY TO THE DIVISION. WHO TO CONTACT REGARDING BRANCH OFFICE NOTICE FILING RENEWALS If you have any questions concerning the branches listed on CRD for Wisconsin, please contact the Gateway Call Center at 240-386-4848. If you have other questions regarding the branch office renewal, please feel free to contact the Division at (608) 266-8279. Copies of this form are available at: http://www.wdfi.org/fi/securities/securapps.htm#Licensing This form is required by section 4.04(8), Wis. Adm. Code. Failure to comply within 30 days may result in fines or action against your license. Information requested may be used for secondary purposes. This document can be made available in alternate formats upon request to qualifying individuals with disabilities. DFI/DOS/BDBrO(WI) (R 10/06) American LegalNet, Inc. www.FormsWorkflow.com