Chapter DFI-Bkg 11

DFI-Bkg 11.09 History History: 1-2-56; am. Register, July, 1968, No. 151, eff. 8-1-68; am. Register, July, 1983, No. 331, eff. 8-1-83; correction made under s. 13.92 (b) (b) 6., Stats., Register March 2020 No. 771; CR 23-039: am. Register March 2024 No. 819, eff. 4-1-24; correction made under s. 35.17, Stats., Register March 2024 No. 819.

DFI-Bkg 11.10 DFI-Bkg 11.10 Notice of hearing in contested cases. In all proceedings instituted by the administrator on complaint or otherwise for the revocation or suspension of any license or permit or in any other contested matter the notice of hearing shall contain a statement of the issues involved and may be in substantially the following form:

BEFORE THE ADMINISTRATOR OF THE DIVISION OF BANKING OF WISCONSIN
To (Name)
(Street Address)
(City and State)
Respondent

Take Notice that a hearing will be held on the day of at the office of the Administrator of the Division of Banking of Wisconsin in Madison, Wisconsin, (or such other place as may be designated) at o’clock M., in the matter of (here insert briefly the subject matter of the hearing). The issue involved and the matters there to be considered are: (here insert with reasonable particularity in numbered paragraphs the particular matters and things complained of or at issue with respect to the subject matter of the hearing), to which you are required to make answer in writing at least days before the time set for hearing.

Dated at Madison, Wisconsin, this ______ day of ______ .

ADMINISTRATOR OF THE DIVISION OF BANKING OF WISCONSIN

By

DFI-Bkg 11.10 History History: 1-2-56; am. Register, July, 1968, No. 151, eff. 8-1-68; correction made under s. 13.92 (b) (b) 6., Stats., Register March 2020 No. 771.

DFI-Bkg 11.11 DFI-Bkg 11.11 Answer in contested cases. The respondent shall be required to file an answer to any such notice in a contested case within the time specified in the notice. Failure to do so shall constitute a default, but the administrator may excuse the default upon terms the administrator considers to be just. The answer of the respondent shall be verified unless an admission of the allegations might subject the respondent to prosecution for a felony. The answer must contain all of the following:

DFI-Bkg 11.11(1) (1) A specific denial of each of the material allegations that are controverted by the respondent.

DFI-Bkg 11.11(2) (2) A statement of any new matter constituting a defense or affecting the respondent’s situation which respondent wishes to have considered.

DFI-Bkg 11.11 History History: 1-2-56; CR 23-039: renum. (1) (intro.), (a), (b) to DFI-Bkg 11.11 (intro.), (1), (2) and, as renumbered, am. (1) Register March 2024 No. 819, eff. 4-1-24.

DFI-Bkg 11.12 DFI-Bkg 11.12 Admission by not denying. Every material allegation of the charges not controverted in the answer shall be taken as true, but new matter in the answer shall be deemed controverted without any reply being served or filed.

DFI-Bkg 11.12 History History: 1-2-56.

DFI-Bkg 11.13 DFI-Bkg 11.13 Petition for rules.

DFI-Bkg 11.13(1) (1) Any interested person may petition the administrator for the promulgation, amendment, or repeal of any rule that is within the jurisdiction of the administrator. The petition shall specify in detail any rule or part thereof that is proposed to be repealed, the content of any proposed amendment, and, if the petition seeks the promulgation of a new rule, the nature and purposes of the proposed new rule. If the petitioner requests the promulgation of a new rule, the petitioner shall specify with particularity the goal he or she would like to accomplish with the proposed rule.

DFI-Bkg 11.13(2) (2) Upon the receipt of any such petition the administrator may commence an investigation into the matter, hold any conferences or hearings deemed necessary, and give notice of such hearings to all parties which he or she deems may be interested in the matter. Alternatively, the administrator may dispose of any petition in a summary manner.

DFI-Bkg 11.13 History History: 1-2-56; corrections made under s. 13.93 (2m) (b) 5., Stats., Register, December, 1991, No. 432; correction made under s. 13.92 (b) (b) 6., Stats., Register March 2020 No. 771; CR 23-039: am. Register March 2024 No. 819, eff. 4-1-24.

DFI-Bkg 11.14 DFI-Bkg 11.14 Declaratory rulings. Any person in interest may petition the administrator for a declaratory ruling with respect to the applicability of any rule or statute enforced by the administrator to any persons, property, or state of facts in which the person has an interest. Any such petition shall be verified by the party presenting the petition, and upon receipt of the petition the administrator may investigate the facts set forth in such petition, and may hold such hearings upon notice to the petitioner or any other interested party. The administrator, however, is not required to issue a declaratory ruling and any action the administrator takes shall be discretionary except upon reference of a case in accordance with the provisions of s. 227.41, Stats.

DFI-Bkg 11.14 History History: 1-2-56; corrections made under s. 13.93 (2m) (b) 5. and 7., Stats., Register, December, 1991, No. 432; correction made under s. 13.92 (b) (b) 6., Stats., Register March 2020 No. 771; CR 23-039: am. Register March 2024 No. 819, eff. 4-1-24.

DFI-Bkg 11.15 DFI-Bkg 11.15 Prehearing conference.

DFI-Bkg 11.15(1) (1) In any pending matter the administrator may direct any party or attorney for any party to appear before the administrator or the administrator’s delegate to consider all of the following:

DFI-Bkg 11.15(1)(a) (a) Simplification of the issues.

DFI-Bkg 11.15(1)(b) (b) The necessity or desirability of amendments to the pleadings.

DFI-Bkg 11.15(1)(c) (c) The possibility of obtaining admissions of fact or as to documents which will avoid unnecessary proof.

DFI-Bkg 11.15(1)(d) (d) Such other matters as may aid in the disposition of the matter.

DFI-Bkg 11.15(2) (2) The administrator or subordinate having the matter in charge may make an order reciting the action taken at the prehearing conference, the amendments made to pleadings and the agreements made as to any of the matters considered, and limiting the issues to those not disposed of by admissions or agreements. Such order shall control the subsequent course of the proceedings unless modified at the hearing to prevent manifest injustice.

DFI-Bkg 11.15 History History: 1-2-56; correction in (1) (intro.) made under s. 13.93 (2m) (b) 5., Stats., Register, December, 1991, No. 432; correction in (1) (intro.), (2) made under s. 13.92 (b) (b) 6., Stats., Register March 2020 No. 771; CR 23-039: am. (1) (intro.), (a) to (c) Register March 2024 No. 819, eff. 4-1-24.