Amendment ASA1-AB40

AB40-ASA1,1065,16 (c) The department may investigate whether an applicant or registrant has been charged with or convicted of a crime.

AB40-ASA1,1065,19 (d) 1. Except as provided in subd. 2., the department may not require that an applicant or registrant be fingerprinted or submit fingerprints in connection with a registration.

AB40-ASA1,1065,25 2. The department may require a person for whom the department conducts an investigation under par. (c) to be photographed and fingerprinted on 2 fingerprint cards, each bearing a complete set of the person's fingerprints. The department of justice may submit the fingerprint cards to the federal bureau of investigation to verify the identity of the persons fingerprinted and obtain records of their criminal arrests and convictions.

AB40-ASA1,1066,2 (e) The department shall charge an applicant the fees, costs, or other expenses the department incurs for conducting an investigation under this subsection.

AB40-ASA1,1066,5 (7) The department may require the electronic submission of an application for registration or registration renewal or any other document or information that may be submitted to the department under this chapter.

AB40-ASA1,1066,9 202.025 Registration renewal; denial of registration or registration renewal. (1) Notice of renewal. (a) The department shall give a notice of renewal to each registrant at least 30 days before the renewal date of the registration. The department may give that notice by electronic transmission.

AB40-ASA1,1066,14 (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 sub. (2).

AB40-ASA1,1066,18 (2) Late Renewal. If the department does not receive an application to renew a registration before the applicable renewal date, the registrant may restore the registration by paying, within 60 days after the renewal date, the renewal fee and late fee determined by the department under s. 202.08.

AB40-ASA1,1066,25 (3) Denial of registration or registration renewal. (a) 1. Notwithstanding ss. 202.12 to 202.14 and 202.23, if the department determines that an applicant for registration or registration renewal has failed to comply with any applicable requirement for renewal, or that the denial of an application for registration or registration renewal is necessary to protect the public health, safety, or welfare, the department may summarily deny the application for registration or registration renewal.

AB40-ASA1,1067,6 2. If the department denies an application for registration or registration renewal under subd. 1., 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.

AB40-ASA1,1067,8 (b) This subsection does not apply to a denial of a registration or registration renewal under s. 202.03 or 202.035 (2) (b).

AB40-ASA1,1067,13 202.03 Registration denial, nonrenewal, or revocation based on tax delinquency. Notwithstanding ss. 202.12 to 202.14 and 202.22, the department shall deny an application for an initial registration or for registration renewal, or revoke a registration, if the department of revenue certifies under s. 73.0301 that the applicant or registrant is liable for delinquent taxes, as defined in s. 73.0301 (1) (c).

AB40-ASA1,1067,16 202.035 Delinquency in support payments; failure to comply with subpoena or warrant. (1) In this section, "support" has the meaning given in s. 49.857 (1) (g).

AB40-ASA1,1067,19 (2) Notwithstanding ss. 202.12 to 202.14 and 202.22, the department shall do all of the following, subject to the memorandum of understanding between the department and the department of children and families under s. 49.857:

AB40-ASA1,1067,25 (a) Restrict, limit, or suspend a registration, or deny an application for an initial registration, if the registrant, applicant, or a controlling person of the registrant or applicant is delinquent in paying support or fails to comply, after appropriate notice, with a subpoena or warrant related to support or paternity proceedings that is issued by the department of children and families or a county child support agency under s. 59.53 (5).

AB40-ASA1,1068,5 (b) Deny an application for registration renewal if the registrant or a controlling person of the registrant is delinquent in paying support or fails to comply, after appropriate notice, with a subpoena or warrant related to support or paternity proceedings that is issued by the department of children and families or a county child support agency under s. 59.53 (5).

AB40-ASA1,1068,9 202.04 Voluntary surrender of registration. A registrant may voluntarily surrender his or her 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.

AB40-ASA1,1068,11 202.05 Nondisclosure of certain personal information. (1) In this section:

AB40-ASA1,1068,13 (a) "List" means information compiled or maintained by the department that contains the personal identifiers of at least 10 individuals.

AB40-ASA1,1068,15 (b) "Personal identifier" means a social security number, telephone number, street name and number, electronic mail address, or post-office box number.

AB40-ASA1,1068,20 (2) If a form that the department requires an individual to complete in connection with a registration or registration renewal under this chapter requires the individual to provide a personal identifier of the individual, the form shall include a place for the individual to declare that the individual's personal identifier may not be disclosed on any list that the department furnishes to another person.

AB40-ASA1,1069,2 (3) If the department requires an individual to provide in person or by telephone or other electronic means a personal identifier of the individual in connection with a registration or registration renewal under this chapter, the department shall provide the individual an opportunity to declare that the individual's personal identifier may not be disclosed on any list that the department furnishes to another person.

AB40-ASA1,1069,6 (4) Upon request, the department shall provide to a registrant who is an individual a form that includes a place for the individual to declare that the individual's personal identifier may not be disclosed on any list that the department furnishes to another person.

AB40-ASA1,1069,9 (5) (a) Except as provided in par. (b), the department may not disclose on any list that it furnishes to another person a personal identifier of any individual who has made a declaration under sub. (2), (3), or (4).

AB40-ASA1,1069,15 (b) Paragraph (a) does not apply to a list that the department furnishes to another state agency, a law enforcement agency, or a federal governmental agency. A state agency that receives a list from the department containing a personal identifier of an individual who has made a declaration under sub. (2), (3), or (4) may not disclose the personal identifier to any person other than a state agency, a law enforcement agency, or a federal governmental agency.

AB40-ASA1,1069,19 202.055 Change of name or address. (1) An applicant or registrant that undergoes a change of name or address shall notify the department of the applicant's or registrant's new name or address within 30 days after the change in writing or in accordance with other notification procedures approved by the department.

AB40-ASA1,1069,22 (2) 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.

AB40-ASA1,1069,24 (3) Any person who fails to comply with sub. (1) shall be subject to a forfeiture of $50.

AB40-ASA1,1070,4 202.06 Disciplinary proceedings; enforcement of laws requiring registration. (1) Investigations. The department may conduct investigations and hold hearings to determine whether any person has violated this chapter or any rule promulgated under this chapter.

AB40-ASA1,1070,8 (2) Disciplinary action. 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:

AB40-ASA1,1070,11 (a) Made a material misrepresentation or false statement in an application for registration or registration renewal or in any other information submitted to the department or in a report under s. 108.067.

AB40-ASA1,1070,12 (b) Violated this chapter or a rule promulgated under this chapter.

AB40-ASA1,1070,17 (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), the department may assess against an applicant, registrant, or controlling person a forfeiture of not more than $1,000 for each violation.

AB40-ASA1,1070,23 (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.

AB40-ASA1,1071,2 (6) Practice without a registration. (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.

AB40-ASA1,1071,6 (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.

AB40-ASA1,1071,11 (c) 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.

AB40-ASA1,1071,14 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.

AB40-ASA1,1071,17 (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.

AB40-ASA1,1071,24 202.07 Administrative warnings. (1) 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.

AB40-ASA1,1072,2 (2) A registrant may obtain review of an administrative warning through a personal appearance before the department.

AB40-ASA1,1072,5 (3) (a) An administrative warning does not constitute an adjudication of guilt or the imposition of discipline and, except as provided in par. (b), may not be used as evidence that the registrant is guilty of the alleged misconduct.

AB40-ASA1,1072,11 (b) 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.

AB40-ASA1,1072,13 (4) An administrative warning is a public record subject to inspection or copying under s. 19.35.

AB40-ASA1,1072,17 202.08 Fees. (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.

AB40-ASA1,1073,5 (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. 202.025 (1). 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.

AB40-ASA1,1073,11 202.09 Debit or credit card payments; collection of registration for nonpayment by financial institution. (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.

AB40-ASA1,1073,17 (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).

AB40-ASA1,1073,22 (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:

AB40-ASA1,1073,24 (a) Pays the fee for which the unpaid check or demand for payment under the debit or credit card transaction was issued.

AB40-ASA1,1073,25 (b) Pays any applicable late fee.

AB40-ASA1,1074,2 (c) Pays the charge for an unpaid draft established by the depository selection board under s. 20.905 (2).

AB40-ASA1,1074,4 (4) The department may extend the date for cancellation to allow the registrant additional time to comply with sub. (3) (a) to (c).

AB40-ASA1,1074,7 (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.

AB40-ASA1,1074,9 202.095 Rules. The department shall promulgate rules to implement this chapter.

AB40-ASA1,1074,10 202.11 (5m) "Department" means the department of financial institutions.

AB40-ASA1,1074,11 202.21 (3m) "Department" means the department of financial institutions.

AB40-ASA1,1990g Section 1990g. 217.11 (5) of the statutes is amended to read:

AB40-ASA1,1074,21 217.11 (5) If a licensee ceases to do business in this state, the licensee shall deposit the licensee's records and proceeds of checks and remittances relating to checks sold in this state with the state treasurer secretary of revenue. On claim and submission of proof of ownership satisfactory to the treasurer secretary of revenue, the treasurer secretary of revenue shall pay such amount of the funds deposited as are owing to a person. Such funds as are not paid out within 20 years from date of deposit shall escheat to and become the property of the state, and shall be paid by the treasurer secretary of revenue and be dealt with in the same manner as other escheated property.

AB40-ASA1,1990m Section 1990m. 220.08 (14) of the statutes is amended to read:

AB40-ASA1,1075,12 220.08 (14) The division may pay the moneys held by the division to the persons entitled to them, upon being furnished satisfactory evidence of their right to the same. In cases of doubt or conflicting claims, the division may require an order of the circuit court authorizing and directing the payment thereof. The division may apply the interest earned towards defraying the expenses in the payment and distribution of such unclaimed deposits or dividends to the depositors and creditors entitled to receive them, and if necessary may draw on the fund to defray such expenses. After one year from the time of the order for final distribution, the division shall report and deliver all unclaimed funds to the state treasurer secretary of revenue as provided in ch. 177. All claims subsequently arising shall be presented to the division. If the division determines that any claim should be allowed, the division shall certify to the department of administration the name and address of the person entitled to payment and the amount thereof and shall attach the claim to the certificate. The secretary of administration shall certify the claim to the state treasurer secretary of revenue for payment.

AB40-ASA1,1990s Section 1990s. 220.08 (20) of the statutes is amended to read:

AB40-ASA1,1076,10 220.08 (20) In the event the division, as statutory receiver of closed state banks or in connection with the division's supervision of segregated trusts, shall have possession of any funds or property by reason of any recovery on an official bond or otherwise, and said funds shall not belong to or be attributable to any specific bank or banks in liquidation or to any specific segregated trust or trusts and it shall appear that all or a number of banks in liquidation or all or a number of the segregated trusts supervised by the division or the depositors or other creditors of such banks or trusts, may have an interest in such funds or property, the division may petition the circuit court for Dane County for an order directing the disposition of such funds or property. The court, upon presentation of such a petition, shall direct the division to give such notice of hearing thereon, by publication of a class 3 notice, under ch. 985, or otherwise, as appears reasonable under the circumstances. The expenses of the division in any such proceeding shall be paid out of such funds or property. If it shall appear to the court that the persons to whom such funds or property may ultimately belong cannot be found or ascertained or that the expense of such ascertainment would in the judgment of the court be excessive or unreasonable under all the circumstances, the court shall enter an order directing the division to transmit such funds or property to the state treasurer secretary of revenue to become the property of the state. Any person claiming an interest in any such funds or property so ordered to be transmitted to the state treasury secretary of revenue may within 5 years after the entry of such order bring suit against the state for recovery thereof without interest.

AB40-ASA1,1991 Section 1991. 224.42 (1) (a) of the statutes is amended to read:

AB40-ASA1,1076,13 224.42 (1) (a) "Financial institution" has the meaning given in 12 USC 3401 (1) s. 49.45 (4m) (a) 3.

AB40-ASA1,1991p Section 1991p. 227.01 (8m) of the statutes is created to read:

AB40-ASA1,1076,16 227.01 (8m) "Permanent rule" means a rule other than a rule promulgated under s. 227.24.

AB40-ASA1,1992 Section 1992. 227.01 (13) (im) of the statutes is repealed.

AB40-ASA1,1993 Section 1993. 227.01 (13) (Lr) of the statutes is created to read:

AB40-ASA1,1076,20 227.01 (13) (Lr) Determines what constitutes high-demand fields for purposes of s. 38.28 (2) (be) 1. b.

AB40-ASA1,1995 Section 1995. 227.01 (13) (ur) of the statutes is repealed.

AB40-ASA1,1996 Section 1996. 227.03 (7m) of the statutes is amended to read:

AB40-ASA1,1076,24 227.03 (7m) Except as provided in s. 101.143 292.63 (6s), this chapter does not apply to proceedings in matters that are arbitrated under s. 101.143 292.63 (6s).

AB40-ASA1,1996bp Section 1996bp. 227.135 (3) of the statutes is amended to read:

AB40-ASA1,1077,11 227.135 (3) If the governor approves a statement of the scope of a proposed rule under sub. (2), the agency shall send an electronic copy of the statement to the legislative reference bureau, in a format approved by the legislative reference bureau, for publication in the register. On the same day that the agency sends the statement to the legislative reference bureau, the agency shall send a copy of the statement to the secretary of administration. The agency shall include with any statement of scope sent to the legislative reference bureau the date of the governor's approval of the statement of scope. The legislative reference bureau shall assign a discrete identifying number to each statement of scope and shall include that number and the date of the governor's approval in the publication of the statement of scope in the register.

AB40-ASA1,1996d Section 1996d. 227.14 (4m) of the statutes is amended to read:

AB40-ASA1,1078,6 227.14 (4m) Notice of submittal to legislative council staff. On the same day that an agency submits a proposed rule to the legislative council staff under s. 227.15, the agency shall prepare a written notice of the agency's submittal to the legislative council staff. The notice shall include a statement of the date on which the proposed rule has been submitted to the legislative council staff for review, of the subject matter of the proposed rule and of whether a public hearing on the proposed rule is required, and shall identify the organizational unit within the agency that is primarily responsible for the promulgation of the rule. The notice shall also include a statement containing the identifying number of the statement of scope for the proposed rule assigned under s. 227.135 (3), the date of publication and issue number of the register in which the statement of scope is published, and the date of approval of the statement of scope by the individual or body with policy-making powers over the subject matter of the proposed rule under s. 227.135 (2). The notice shall be approved by the individual or body with policy-making powers over the subject matter of the proposed rule. The agency shall send an electronic copy of the notice to the legislative reference bureau, in a format approved by the legislative reference bureau, for publication in the register. On the same day that the agency sends the notice to the legislative reference bureau, the agency shall send a copy of the notice to the secretary of administration.

AB40-ASA1,1996dp Section 1996dp. 227.16 (2) (e) (intro.) of the statutes is amended to read:

AB40-ASA1,1078,14 227.16 (2) (e) (intro.) The proposed rule and the fiscal estimate required under s. 227.14 (4) are, as submitted to the legislative council staff under s. 227.15 (1), is sent to the legislative reference bureau in an electronic format approved by the legislative reference bureau and published in the notice section of the register with a statement that the proposed rule will be promulgated without public hearing unless a petition is received by the agency within 30 days after publication of the notice, signed by any of the following:

AB40-ASA1,1996f Section 1996f. 227.17 (1) (a) and (b) of the statutes are amended to read:

AB40-ASA1,1078,18 227.17 (1) (a) Send written notice of the hearing, in an electronic format approved by the legislative reference bureau, to the legislative reference bureau for publication in the register and, if required, publish the notice in a local newspaper.

AB40-ASA1,1078,23 (b) Send an electronic copy of the written notice of the hearing under par. (a) to each member of the legislature who has filed a written request for notice with the legislative reference bureau. Upon request, the legislative reference bureau shall furnish an agency with the name and address of each legislator who has requested notice.

AB40-ASA1,1996fp Section 1996fp. 227.17 (2) of the statutes is amended to read:

AB40-ASA1,1079,4 227.17 (2) The notice under sub. (1) shall be given at least 10 days prior to the date set for a hearing. Notice through the register is considered to have been given on the effective date of the issue of the register in which the notice first appears, or, if applicable, on the date prescribed under s. 227.22 (4).

AB40-ASA1,1996h Section 1996h. 227.17 (3) (b) of the statutes is amended to read:

AB40-ASA1,1079,11 227.17 (3) (b) Either the text of A copy of the proposed rule in the form specified in s. 227.14 (1), or an informative summary of the effect of the proposed rule. If the agency chooses to publish an informative summary rather than the full text of a proposed rule, the notice shall include a description of how a copy of the text may be obtained from the agency at no charge as submitted to the legislative council staff under s. 227.15 (1).

AB40-ASA1,1996hp Section 1996hp. 227.17 (3) (c) and (d) of the statutes are repealed.

AB40-ASA1,1996j Section 1996j. 227.17 (3) (e) of the statutes is repealed.

AB40-ASA1,1996jp Section 1996jp. 227.17 (3) (em) of the statutes is amended to read: