Chapter 202

202.021(1)(c) (c) The department may require the electronic submission of an application or any other document or information that may be submitted to the department under this chapter.

202.021(2) (2) Completion of registration process.

202.021(2)(a) (a) The department may conduct an investigation of the applicant, including the applicant’s members, officers, trustees, and directors, to determine whether the applicant satisfies all of the requirements specified for registration. The investigation may include determining whether any of the applicant’s members, officers, trustees, or directors has an arrest or conviction record. In conducting an investigation under this paragraph, the department may require an applicant to provide any information that is necessary for the investigation.

202.021(2)(b) (b) If an officer, director, or member of an applicant has been convicted or has an arrest or conviction record, the department may charge an applicant the fees, costs, or other expenses the department incurs for conducting an investigation under this subsection.

202.021(2)(bn) (bn) Subject to ss. 111.321, 111.322, and 111.335, the department may deny or limit the registration of an applicant or registrant that has a member, officer, trustee, or director who has been convicted of a felony or misdemeanor.

202.021(2)(c) (c) Except as provided in sub. (4), the department shall, after its review of an application, issue a certificate of registration to the applicant.

202.021(2)(d) (d) A registration issued under this chapter is not assignable or transferable.

202.021(3) (3) Renewal of registration.

202.021(3)(a) (a) The department shall give a notice of renewal to each registrant at least 30 days before the expiration date of the registration. The department may give that notice by electronic transmission.

202.021(3)(b) (b) Failure to receive a notice of renewal is not a defense in any disciplinary proceeding against a registrant or in any proceeding against a former registrant for practicing without a registration. Failure to receive a notice of renewal does not relieve a registrant from the obligation to pay a penalty for late renewal under par. (c).

202.021(3)(c) (c)

202.021(3)(c)1. 1. A registrant may apply to renew its registration by submitting to the department an application, fees, and any financial statement required by s. 202.22. For the renewal application to be timely, the renewal fee and application must be received by the department on or before the registration’s expiration date.

202.021(3)(c)2. 2. Subject to subd. 4., a registrant whose renewal fee and completed application are not received by the department on or before the registration’s expiration date, but are received within 60 days after the expiration date, must pay the late fee determined by the department under s. 202.041.

202.021(3)(c)3. 3. A registrant whose renewal fee and completed application are not received by the department within 60 days after the expiration date of the registration must submit an application for a new registration.

202.021(3)(c)4. 4. After the expiration date, a registrant that is required to renew its registration may not continue to conduct the activity for which the registration is required unless the registrant’s certificate has been renewed by the department or the registrant has paid the renewal fee and filed a completed renewal application on or before the registration’s expiration date.

202.021(4) (4) Denial of application.

202.021(4)(a) (a) The department may not issue or renew a registration under this chapter if any of the following applies:

202.021(4)(a)1. 1. The applicant has failed to submit a complete application to the department. Before denying an incomplete application, the department shall notify the applicant of any deficiencies in the application and give the applicant a reasonable amount of time to resolve the deficiencies.

202.021(4)(a)2. 2. The department determines that the applicant has failed to comply with any applicable requirement for the issuance or renewal of registration.

202.021(4)(a)3. 3. The department determines that the denial of the application is necessary to protect the public health, safety, or welfare.

202.021(4)(a)4. 4. The department is not satisfied that the applicant or registrant will comply with this chapter and any rules promulgated under this chapter.

202.021(4)(a)5. 5. The department of revenue has certified under s. 73.0301 that the applicant is liable for delinquent taxes. An applicant whose application is denied under this subdivision for delinquent taxes is entitled to a notice under s. 73.0301 (2) (b) 1. b. and hearing under s. 73.0301 (5) (a) but is not entitled to any other notice or hearing under this section.

202.021(4)(a)6. 6. The department of workforce development has certified under s. 108.227 that the applicant is liable for delinquent unemployment insurance contributions. An applicant whose application is denied under this subdivision for delinquent unemployment insurance contributions is entitled to a notice under s. 108.227 (2) (b) 1. b. and hearing under s. 108.227 (5) (a) but is not entitled to any other notice or hearing under this section.

202.021(4)(a)7. 7. The applicant is an individual who fails to comply, after appropriate notice, with a subpoena or warrant issued by the department of children and families or a county child support agency under s. 59.53 (5) and related to child support or paternity proceedings or who is delinquent in making court-ordered payments of child or family support, maintenance, birth expenses, medical expenses, or other expenses related to the support of a child or former spouse, as provided in a memorandum of understanding entered into under s. 49.857. An applicant whose license is not issued or renewed under this subdivision for delinquent payments is entitled to a notice and hearing under s. 49.857 but is not entitled to any other notice or hearing under this section.

202.021(4)(b) (b) If the department denies an application under par. (a) 1., 2., 3., or 4., the department shall provide the applicant with a notice of denial that states the facts or conduct giving rise to the denial and states that the applicant may, within 30 days after the date stated on the notice of denial, file a written request with the department for the department to review the denial at a hearing.

202.021 History History: 2015 a. 163 ss. 6, 8, 12 to 14, 17, 18, 20, 21, 24, 28.

202.031 202.031 General duties.

202.031(1) (1) The department shall establish the content and form of each type of registration. Upon the request of a registrant and payment of a $10 fee, the department may issue to a registrant a wall certificate.

202.031(2) (2) The department may require a registrant to do any of the following:

202.031(2)(a) (a) Display the registrant’s certificate of registration in a conspicuous place in the registrant’s office or place of business.

202.031(2)(b) (b) Post a notice in a conspicuous place in the registrant’s office or place of business, or on the registrant’s Internet site, describing the procedures for filing a complaint against the registrant.

202.031(3) (3) A registrant, or a registrant’s officer, director, trustee, or member, who is convicted of a felony or misdemeanor anywhere shall send a notice of the conviction by 1st class mail to the department within 48 hours after the entry of the judgment of conviction.

202.031(4) (4) A registrant may voluntarily surrender his, her, or its registration. The department may refuse to accept that surrender if a complaint has been filed or a disciplinary proceeding has been commenced against the registrant.

202.031(5) (5) 

202.031(5)(a) (a) Applicants and registrants shall keep current and accurate all material information contained in the application or on file with the department. Material information includes name, mailing address, electronic mail address, and trade names.

202.031(5)(b) (b) Notification of any change to material information shall be made to the department within 30 days after the change and shall be made in writing or in accordance with other notification procedures approved by the department.

202.031(5)(c) (c) Any person who fails to comply with par. (b) shall be subject to a forfeiture of $50 for each violation.

202.031(6) (6) Before using any trade name in this state, the registrant shall inform the department in writing that the registrant intends to use the trade name. Unless the registrant is informed by the department within 30 days of submission of the trade name to the department that it may not use the proposed trade name, the registrant may use the trade name.

202.031 History History: 2015 a. 163 ss. 2, 4, 5, 9, 25, 30, 33, 35.

202.041 202.041 Fees.

202.041(1) (1) The department shall determine the fees for an initial registration and for a registration renewal, including late fees for each type of registration under ss. 202.12 to 202.14 and 202.22, based on the department’s administrative and enforcement costs under this chapter.

202.041(2) (2) Before the department makes any fee adjustment under sub. (1), the department shall send a notification of the proposed fee adjustments to the cochairpersons of the joint committee on finance. If the cochairpersons of the committee do not notify the secretary of financial institutions within 14 working days after the date of the department’s notification that the committee has scheduled a meeting for the purpose of reviewing the proposed fee adjustments, the fee adjustments may be made as proposed. The department shall notify registrants of the fee adjustments by posting the fee adjustments on the department’s Internet site and in registration renewal notices sent to affected registrants under s. 202.021 (3) (a). If, within 14 working days after the date of the department’s notification, the cochairpersons of the committee notify the secretary of financial institutions that the committee has scheduled a meeting for the purpose of reviewing the proposed fee adjustments, the fee adjustments may be made only upon approval of the committee.

202.041 History History: 2013 a. 20; 2015 a. 163 s. 46; Stats. 2015 s. 202.041.

202.051 202.051 Debit or credit card payments; collection of registration for nonpayment by financial institution.

202.051(1) (1) If the department permits the payment of a fee by use of a debit or credit card, the department may charge a service charge for each transaction in addition to the fee being paid. The service charge shall be sufficient to cover the cost to the department of permitting the payment of a fee by debit or credit card.

202.051(2) (2) If a registrant pays a fee required under this chapter by check or by debit or credit card and the check is not paid by the financial institution upon which the check is drawn or if the demand for payment under the debit or credit card transaction is not paid by the financial institution upon which demand is made, the department may cancel the registration after 60 days after the department receives a notice of nonpayment from the financial institution, subject to sub. (3).

202.051(3) (3) At least 20 days before canceling a registration under sub. (2), the department shall provide a notice to the registrant that informs the registrant that the check or demand for payment under the debit or credit card transaction was not paid by the financial institution and that the registrant’s registration may be canceled, unless the registrant does all of the following before that date:

202.051(3)(a) (a) Pays the fee for which the unpaid check or demand for payment under the debit or credit card transaction was issued.

202.051(3)(b) (b) Pays any applicable late fee.

202.051(3)(c) (c) Pays the charge for an unpaid draft established under s. 20.905 (2).

202.051(4) (4) The department may extend the date for cancellation to allow the registrant additional time to comply with sub. (3) (a) to (c).

202.051(5) (5) The department may reinstate a registration that it cancelled under this section only if the former registrant complies with sub. (3) (a) to (c) and pays a $30 reinstatement fee.

202.051 History History: 2013 a. 20; 2015 a. 163 s. 47; Stats. 2015 s. 202.051; 2017 a. 59.

202.06 202.06 Disciplinary proceedings; enforcement of laws requiring registration.

202.06(2) (2) Disciplinary action.

202.06(2)(c) (c) The department may reprimand a registrant or deny, limit, suspend, revoke, restrict, refuse to renew, or otherwise withhold a registration if the department finds that an applicant, registrant, or controlling person has done any of the following:

202.06(2)(c)1. 1. Made a material misrepresentation or false statement in an application or in any other information submitted to the department or in a report under s. 108.067.

202.06(2)(c)2. 2. Violated this chapter or a rule promulgated under this chapter.

202.06(2)(d) (d) Subject to ss. 111.321, 111.322, and 111.335, the department may reprimand a registrant or deny, limit, suspend, revoke, restrict, refuse to renew, or otherwise withhold a registration if the department finds that the registrant has a member, officer, trustee, or director who has been convicted of a felony or misdemeanor.

202.06(2)(e) (e) The department shall restrict or suspend a registration if the registrant is an individual who fails to comply, after appropriate notice, with a subpoena or warrant issued by the department of children and families or a county child support agency under s. 59.53 (5) and related to child support or paternity proceedings or who is delinquent in making court-ordered payments of child or family support, maintenance, birth expenses, medical expenses, or other expenses related to the support of a child or former spouse, as provided in a memorandum of understanding entered into under s. 49.857. An individual whose registration is restricted or suspended under this paragraph is entitled to a notice and hearing only as provided in a memorandum of understanding entered into under s. 49.857.

202.06(2)(f) (f) The department shall revoke a registration if the department of revenue certifies under s. 73.0301 that the registrant is liable for delinquent taxes. A registrant whose registration is revoked under this paragraph for delinquent taxes is entitled to a notice under s. 73.0301 (2) (b) 1. b. and a hearing under s. 73.0301 (5) (a).

202.06(2)(g) (g) The department shall revoke a registration if the department of workforce development certifies under s. 108.227 that the registrant is liable for delinquent unemployment insurance contributions. A registrant whose registration is revoked under this paragraph for delinquent unemployment insurance contributions is entitled to a notice under s. 108.227 (2) (b) 1. b. and a hearing under s. 108.227 (5) (a).

202.06(3) (3) Forfeiture. In addition to or in lieu of a reprimand or a denial, limitation, suspension, revocation, restriction, nonrenewal, or other withholding of a registration under sub. (2) (c), the department may assess against an applicant, registrant, or controlling person a forfeiture of not more than $1,000 for each violation.

202.06(5) (5) Injunction. If it appears upon complaint to the department or the department otherwise knows that any person has violated this chapter, the department or the district attorney of the proper county may investigate and may, in addition to any other remedies, bring action in the name of and on behalf of the state against that person to enjoin the person from committing further violations of this chapter.

202.06(6) (6) Practice without a registration.

202.06(6)(a) (a) If, after holding a public hearing, the department determines that a person has engaged in a practice or used a title without a required registration, the department may issue a special order enjoining the person from continuing the practice or use of the title.

202.06(6)(b) (b) In lieu of holding a public hearing, if the department has reason to believe that a person has engaged in a practice or used a title without a required registration, the department may petition the circuit court for a temporary restraining order or an injunction as provided in ch. 813.

202.06(6)(c) (c)

202.06(6)(c)1. 1. Any person who violates a special order issued under par. (a) may be required to forfeit not more than $10,000 for each offense. Each day of continued violation constitutes a separate offense. The attorney general or any district attorney may commence an action in the name of the state to recover a forfeiture under this subdivision.

202.06(6)(c)2. 2. Any person who violates a temporary restraining order or an injunction issued by a court upon a petition under par. (b) may be fined not less than $25 nor more than $5,000 or imprisoned for not more than one year in the county jail or both.

202.06(7) (7) Judicial review. Any person who is aggrieved by any action taken under this chapter by the department, its officers, or agents may apply for judicial review as provided in ch. 227.

202.06 History History: 2013 a. 20; 2015 a. 163. ss. 27, 36 to 40.

202.07 202.07 General powers of the department.

202.07(1m) (1m) 

202.07(1m)(a) (a) The department may conduct investigations and hold hearings to determine whether any person has violated this chapter or any rule promulgated under this chapter.

202.07(1m)(b) (b) The department may investigate whether a registrant, or an officer, director, trustee, or member of a registrant, has been charged with or convicted of a crime. In conducting this investigation, the department may require a person for whom the department conducts an investigation to provide any information that is necessary for the investigation.

202.07(2m) (2m) The department may issue subpoenas for the attendance of witnesses and the production of documents or other materials prior to the commencement of a disciplinary or other proceeding under this chapter.

202.07(3m) (3m) The department may serve any process, notice, or demand on a registrant by mailing it to the last-known address of the registrant as indicated in the department’s records, or by other means established by the department by rule.

202.07(4m) (4m) The department may promulgate rules to implement this chapter.

202.07(5m) (5m) 

202.07(5m)(a) (a) If the department determines during an investigation of a complaint against a registrant that there is evidence that the registrant committed misconduct, the department may close the investigation by issuing an administrative warning to the registrant if the department determines that no further disciplinary action is warranted, the complaint involves a first occurrence of a minor violation, and the issuance of an administrative warning adequately protects the public.

202.07(5m)(b) (b) A registrant may obtain review of an administrative warning through a personal appearance before the department.

202.07(5m)(c) (c)

202.07(5m)(c)1. 1. An administrative warning does not constitute an adjudication of guilt or the imposition of discipline and, except as provided in subd. 2., may not be used as evidence that the registrant is guilty of the alleged misconduct.

202.07(5m)(c)2. 2. If the department receives a subsequent complaint of misconduct by a registrant against whom the department issued an administrative warning, the department may reopen the matter that gave rise to the administrative warning and commence disciplinary proceedings against the registrant, and the administrative warning may be used as evidence that the registrant had actual notice that the misconduct that was the basis for the administrative warning was contrary to law.

202.07(5m)(d) (d) An administrative warning is a public record subject to inspection or copying under s. 19.35.

202.07 History History: 2013 a. 20; 2015 a. 163 ss. 3, 10, 34, 37, 41 to 45, 49.

subch. II of ch. 202 SUBCHAPTER II

SOLICITATION OF FUNDS FOR CHARITABLE PURPOSES