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)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)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
202.11 202.11 Definitions. In this subchapter:
202.11(1) (1) “Charitable organization" means any of the following:
202.11(1)(a) (a) An organization that is described in section 501 (c) (3) of the internal revenue code and that is exempt from taxation under section 501 (a) of the internal revenue code.
202.11(1)(b) (b) A person who is or purports to be established for a charitable purpose.
202.11(2) (2) “Charitable purpose" means any of the following:
202.11(2)(a) (a) A purpose described in section 501 (c) (3) of the internal revenue code.
202.11(2)(b) (b) A benevolent, educational, philanthropic, humane, scientific, patriotic, social welfare or advocacy, public health, environmental conservation, civic, or other eleemosynary objective.
202.11(3) (3) “Charitable sales promotion" means an advertising or sales campaign that is conducted by a person who is regularly and primarily engaged in trade or commerce for profit other than in connection with soliciting and that represents that the purchase or use of goods or services offered will benefit, in whole or in part, a charitable organization or charitable purpose.
202.11(4) (4) “Commercial coventurer" means a person who is regularly and primarily engaged in trade or commerce for profit other than in connection with soliciting and who conducts a charitable sales promotion.
202.11(5) (5) “Contribution" means a grant or pledge of money, credit, property, or other thing of any kind or value, except food, used clothing, or used household goods, to a charitable organization or for a charitable purpose. “Contribution" does not include income from any of the following:
202.11(5)(a) (a) Bingo or raffles conducted under ch. 563.
202.11(5)(b) (b) A government grant.
202.11(5)(c) (c) A bona fide fee, due, or assessment paid by a member of a charitable organization, except that, if initial membership in a charitable organization is conferred solely as consideration for making a grant or pledge of money to the charitable organization in response to a solicitation, that grant or pledge of money is a contribution.
202.11(5m) (5m) “Department" means the department of financial institutions.
202.11(6) (6) “Fund-raising counsel" means a person who, for compensation, plans, manages, advises, consults, or prepares material for, or with respect to, solicitation in this state for a charitable organization, but who does not solicit in this state or employ, engage, or provide any person who is paid to solicit in this state. “Fund-raising counsel" does not include any of the following:
202.11(6)(a) (a) An attorney, investment counselor, or employee of a financial institution who, in the normal course of his or her work as an attorney, investment counselor, or employee of a financial institution, advises a person to make a contribution.
202.11(6)(b) (b) A bona fide employee, volunteer, or salaried officer of a charitable organization.
202.11(7) (7) “Professional fund-raiser" means a person who, for compensation, solicits in this state or employs, engages, or provides, directly or indirectly, another person who is paid to solicit in this state. “Professional fund-raiser" does not include any of the following:
202.11(7)(a) (a) An attorney, investment counselor, or employee of a financial institution who, in the normal course of his or her work as an attorney, investment counselor, or employee of a financial institution, advises a person to make a charitable contribution.
202.11(7)(b) (b) A bona fide employee, volunteer, wholly owned subsidiary, or salaried officer of a charitable organization.
202.11(7)(c) (c) An employee of a temporary help agency who is placed with a charitable organization.
202.11(7)(d) (d) A bona fide employee of a professional fund-raiser that is registered under this chapter.
202.11(8) (8) “Solicit" means to request, directly or indirectly, a contribution and to state or imply that the contribution will be used for a charitable purpose or will benefit a charitable organization.
202.11(9) (9) “Solicitation" means the act or practice of soliciting, whether or not the person soliciting receives any contribution. “Solicitation" includes any of the following methods of requesting or securing a contribution:
202.11(9)(a) (a) An oral or written request.
202.11(9)(b) (b) An announcement to the news media or by radio, television, telephone, telegraph, or other transmission of images or information concerning a request for a contribution by or for a charitable organization or for a charitable purpose.
202.11(9)(c) (c) The distribution or posting of a handbill, written advertisement, or other publication that directly or by implication seeks a contribution.
202.11(9)(d) (d) The sale of, or offer or attempt to sell, a membership or an advertisement, advertising space, book, card, tag, coupon, device, magazine, merchandise, subscription, flower, ticket, candy, cookie, or other tangible item in connection with any of the following:
202.11(9)(d)1. 1. A request for financial support for a charitable organization or charitable purpose.
202.11(9)(d)2. 2. The use of or reference to the name of a charitable organization as a reason for making a purchase.
202.11(9)(d)3. 3. A statement that all or a part of the proceeds from the sale will be used for a charitable purpose or will benefit a charitable organization.
202.11(10) (10) “Unpaid solicitor" means a person who solicits in this state and who is not a professional fund-raiser and is not a bona fide employee of a professional fund-raiser that is registered under this chapter.
202.11 History History: 1991 a. 278, 315; 1999 a. 9; 2013 a. 20 ss. 1990, 2189 to 2208; Stats. 2013 s. 202.11; 2015 a. 163.
202.12 202.12 Regulation of charitable organizations.
202.12(1)(1)Registration requirement.
202.12(1)(a)(a) Except as provided in sub. (5), no charitable organization may solicit in this state or have contributions solicited in this state on its behalf unless it is registered with the department under this subsection.
202.12(1)(b) (b) Applicants for a charitable organization registration shall apply to the department, in the form and manner prescribed by the department. Each application that is not a renewal application shall be accompanied by any information required by the department, including all of the following:
202.12(1)(b)1m. 1m. The registration fee determined by the department under s. 202.041.
202.12(1)(b)2g. 2g. A reviewed financial statement for the most recently completed fiscal year of the charitable organization, if the charitable organization received contributions in excess of $300,000, subject to adjustment under sub. (8), but not more than $500,000, subject to adjustment under sub. (8), during its most recently completed fiscal year. The statement shall be prepared in accordance with generally accepted accounting principles and include a review of the financial statement by an independent certified public accountant.
202.12(1)(b)2r. 2r. An audited financial statement for the most recently completed fiscal year of the charitable organization, if the charitable organization received contributions in excess of $500,000, subject to adjustment under sub. (8), during its most recently completed fiscal year. The statement shall be prepared in accordance with generally accepted accounting principles and include the opinion of an independent certified public accountant on the financial statement.
202.12(1)(e) (e) All charitable organization registrations expire on July 31 of each year.
202.12(3) (3)Annual report.
202.12(3)(a)(a) A charitable organization registered under sub. (1) shall file with the department an annual report for the charitable organization's most recently completed fiscal year. The department shall prescribe the form of the report and shall prescribe standards for its completion. The annual report shall be filed within 12 months after the end of that fiscal year.
202.12(3)(b) (b) In addition to the annual report required under par. (a), if a charitable organization received contributions in excess of $500,000, subject to adjustment under sub. (8), during its most recently completed fiscal year, the charitable organization shall file with the department an audited financial statement for the charitable organization's most recently completed fiscal year, prepared in accordance with generally accepted accounting principles, and the opinion of an independent certified public accountant on the financial statement. The audited financial statement shall be filed within 12 months after the end of that fiscal year.
202.12(3)(bm) (bm) In addition to the annual report required under par. (a), if a charitable organization received contributions in excess of $300,000, subject to adjustment under sub. (8), but not more than $500,000, subject to adjustment under sub. (8), during its most recently completed fiscal year, the charitable organization shall file with the department a financial statement for the charitable organization's most recently completed fiscal year, prepared in accordance with generally accepted accounting principles, and a review of the financial statement by an independent certified public accountant. The financial statement shall be filed within 12 months after the end of that fiscal year.
202.12(3)(d) (d) A charitable organization may apply to the department for a waiver of the requirement set forth in par. (b) or (bm). The waiver application shall be in writing, be received by the department within 90 days after the charitable organization's fiscal year-end, and include documentation to support all of the following:
202.12(3)(d)1. 1. The charitable organization's contributions were, during each of the past 3 fiscal years, less than $100,000, subject to adjustment under sub. (8).
202.12(3)(d)2. 2. During the fiscal year for which the waiver is being requested, the charitable organization received one or more contributions from one contributor that exceeded $200,000, subject to adjustment under sub. (8), if the charitable organization is applying for a waiver of the requirement set forth in par. (bm), or exceeded $400,000, subject to adjustment under sub. (8), if the charitable organization is applying for a waiver of the requirement set forth in par. (b).
202.12(5) (5)Exemptions from registration.
202.12(5)(a)(a) The following are not required to register under sub. (1):
202.12(5)(a)1. 1. A person that is exempt from filing a federal annual information return under section 6033 (a) (3) (A) (i) and (iii) and (C) (i) of the Internal Revenue Code.
202.12(5)(a)2. 2. A candidate for national, state, or local office or a political party or other committee or group required to file financial information with the federal elections commission or a filing officer under s. 11.0102 (1).
202.12(5)(a)3. 3. Except as provided in par. (b), a charitable organization that does not intend to raise or receive contributions in excess of $25,000, subject to adjustment under sub. (8), during a fiscal year, if all of its functions, including solicitation, are performed by persons who are unpaid for their services and if no part of its assets or income inures to the benefit of, or is paid to, any officer or member of the charitable organization.
202.12(5)(a)3m. 3m. A fraternal, civic, benevolent, patriotic, or social organization that solicits contributions solely from its membership.
202.12(5)(a)4. 4. A veterans organization incorporated under ch. 188 or chartered under federal law or the service foundation of such an organization recognized in the bylaws of the organization.
202.12(5)(a)5. 5. A nonprofit, postsecondary educational institution accredited by a regional accrediting agency or association approved under 20 USC 1099b, or an educational institution and its authorized charitable foundations that solicit contributions only from its students and their families, alumni, faculty, trustees, corporations, foundations, and patients.
202.12(5)(a)6. 6. A person soliciting contributions for the relief of a named individual if all contributions, without any deductions, are given to the named individual.
202.12(5)(a)7. 7. A state agency, as defined in s. 20.001 (1), or a local governmental unit, as defined in s. 605.01 (1).
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2015-16 Wisconsin Statutes updated through 2017 Wis. Act 64 and all Supreme Court and Controlled Substances Board Orders effective on or before November 15, 2017. Published and certified under s. 35.18. Changes effective after November 15, 2017 are designated by NOTES. (Published 11-15-17)