Wisconsin Department of Financial Institutions. Form Groups on this Page: Securities Registration Forms Wisconsin Agent for Issuer U4 Supplemental Information (U-4S) (PDF: 46 KB / 1 page) Uniform Application to Register Securities (U-1) (PDF: 10 KB / 3 pages) Uniform Consent to Service of Process (U-2) Uniform Form of Corporate Resolution (U-2A) Small Corporate Offering Registration (U-7) This link will take you to the NASAA (North American Securities Administrators Association) Help for Small Business page. Solicitations of Interest (SOI) (PDF: 5 KB / 1 page) Midwest Regional Review Program Application Form D (external link) Form NF (PDF: 18 KB / 3 pages) Registration of Securities Professionals Forms Form BD (PDF: external link) Form BDW (PDF: external link) Form U-4 (PDF: external link) Form U-5 (PDF: external link) BD Packet (PDF: 168 KB / 4 pages) -- Includes Form BDAA plus instructions.
Form BDAA (PDF: 127 KB / 1 page) -- Wisconsin Broker-Dealer Activity of Applicant Form IAFC (PDF: 153 KB / 1 page) -- Financial Certification Franchising Forms. SCOR Forms - NASAA. Start-up legal issues – Intellectual property. I thought I would write a couple of posts on legal issues start-ups should be aware of early in their lifecycle. In particular I wanted to cover some issues, that if not handled correctly, can have a detrimental impact at a later stage in the company’s life such as when they are looking for outside financing. I recently met with Joe Milstone, partner and co-founder of Cognition LLP. Cognition is quite active in the start-up space in Toronto. They work with start-ups by offering a dedicated lawyer to act in the role of in-house counsel on a fractional, as-needed basis, and at a cost that is about a half to a third of a more traditional business law firm.
Craig: Joe, thanks for taking the time to talk with the StartupNorth readership today. Before we start, I guess we should get the formalities out of the way by stating everything we will cover today is meant as general information only and not meant to imply specific legal advice. Joe: That’s right. Craig: Ok, let’s start with employees. Urities and Exchange Commission Forms List. Venture Capital Access Online - the venture capital and private equity marketplace.