Scope Statements
Chiropractic Examining Board
Subject
Revises chapters Chir 2, 3, and 5, relating to applications, biennial registration (renewal), licensure by endorsement, temporary permits, and continuing education.
Objective of the Rule
2007 Wisconsin Act 104 amends several sections of ch.
446, Stats., Practice of Chiropractic. The amendments to ch.
446, Stats., require the Chiropractic Examining Board to amend administrative rules of application for licensure, licensure by endorsement, application for a temporary permit, renewal of licensure and continuing education. As per provisions of
2007 Wisconsin Act 104, the proposed rules shall include the requirement for applicants and licensees to be proficient in the use of automated external defibrillators (AED's) through the completion of an approved instruction program prior to initial licensure, issuance of a temporary permit and renewal of licensure. The proposed rules also indicate that training in the use of AED's is included in board continuing education.
Policy Analysis
The Chiropractic Examining Board's statute and rules governing application, licensure by endorsement, application for a temporary permit and renewal do not currently have a requirement for proficiency in the use of an AED. Current rules for renewal of licensure do require current certification in cardiopulmonary resuscitation (CPR); however, CPR training is not a prerequisite for licensure by endorsement or for the temporary permit. The implementation of the rules may initially be done through emergency rule making without finding of emergency (as per non-statutory provisions of
2007 Wisconsin Act 104).
The implementation of these rules will require licensed chiropractors to hold approved training in the use of AED's as a precondition for licensure by endorsement and for the temporary chiropractic permits for those practicing in state as a chiropractor for participants in a sporting or performing arts event. At the time of the publication of this scope statement, the four states surrounding Wisconsin (Michigan, Minnesota, Illinois, and Iowa) do not require chiropractors to obtain AED proficiency as a prerequisite for licensure or renewal.
Finally, the implementation of these rules, as directed by
2007 Wisconsin Act 104, will require all Wisconsin chiropractors to complete an approved training program in the usage of AED's prior to renewal in the current biennium. The current biennium ends on December 31, 2008.
Statutory Authority
Entities Affected by the Rule
Chiropractic license applicants, applicants for licensure by endorsement, applicants for temporary permit, active chiropractic license holders.
Comparison with Federal Regulations
There is no existing or proposed federal regulation that is intended to address the activities to be regulated by the rule.
Estimate of Time Needed to Develop the Rule
Total hours: 160.
Employee Trust Funds
Subject
Revises section
ETF 11.11, relating to legal counsel advising the boards that are attached to the department while a board considers a final decision pertaining to an appeal.
Objective of the Rule
The proposed modifications concern appointment of legal counsel by the Employee Trust Funds Board, Wisconsin Retirement Board, Teachers Retirement Board, Group Insurance Board, and the Deferred Compensation Board and the nature of the legal representation provided to those boards during their consideration of a final decision pertaining to a pending appeal. The proposed rule does not change the responsibility of the Department of Justice to provide legal counsel pursuant to Wis. Stat. s.
40.03 (3).
Policy Analysis
Under current law (Wis. Stat. s.
40.03 (3) ), the Department of Justice is required to furnish legal counsel and prosecute and defend all actions brought by or against the Employee Trust Funds Board, the Group Insurance Board, the department, or any employee of the department as a result of the performance of the department employee's duties. Under the current administrative rules, board staff arrange for legal counsel to advise the Employee Trust Funds Board, Wisconsin Retirement Board, Teachers Retirement Board, Group Insurance Board, and the Deferred Compensation Board from one of three sources: 1) the Department of Justice, if the department is a party to the appeal; 2) the department's chief counsel, if the department is not a party to the appeal; and 3) outside counsel, if neither the department's chief counsel nor the Department of Justice is able to provide legal counsel. The current rule also prescribes a number of specific duties of the legal counsel.
Under the proposed modifications, board staff may arrange for legal counsel for the boards as deemed necessary and in accordance with Wis. Stat. s.
40.03 (3). In addition, the proposed modifications will eliminate the specific duties of the legal counsel contained in the current rule and simply provide that the legal counsel shall provide legal representation to the board. The proposed modifications will provide the boards with additional flexibility in the use of legal counsel.
Statutory Authority
Entities Affected by the Rule
The proposed modifications would affect the various boards attached to the department, the department itself, and the Department of Justice.
Comparison with Federal Regulations
No specific federal regulation is implicated by this rulemaking. There is no impact on the provisions of the Internal Revenue Code regulating qualified pension plans. Similarly, there is no impact on s.
40.015, Stats., which requires that the Wisconsin Retirement System be maintained as a qualified plan.
Estimate of Time Needed to Develop the Rule
The Department estimates that state employees will spend 40 hours to develop this rule.
Financial Institutions - Securities
Subject
Revises the Wisconsin Securities Law, chs.
DFI-Sec 1 to
9, to reflect the recent repeal and recreation of the Wisconsin Securities Law in
2007 Wisconsin Act 196, and amends the Wisconsin Franchise Law rules, chs.
DFI-Sec 31 to
36, to make them consistent with recently adopted Federal Trade Commission franchise-related regulations.
Objective of the Rule
Because the repeal and recreation of the Wisconsin Securities Law in
2007 Wisconsin Act 196 (signed by the Governor on March 27, 2008) -- which involved the adoption of the 2002 Uniform Securities Act (“2002 USAct") as developed by the National Conference of Commissioners on Uniform State Laws -- resulted in changes to all aspects of Wisconsin securities regulation (definitions, securities registration procedures and registration exemptions, securities licensing, enforcement powers and procedures, as well as general administrative powers), the corresponding administrative rule chapters and provisions relating to those aspects/categories of law changes need to be updated and made consistent. Also, because the effectiveness date for
2007 Wisconsin Act 196 is January 1, 2009, the proposed rule-making process is being conducted now to enable the rules to be finalized concurrent with the effectiveness of the legislation.
Separately, because the adoption by the Federal Trade Commission of its FTC Franchise Rule (“the FTC Franchise Rule," which became effective for use on a voluntary basis for franchisors on July 1, 2007, and becomes effective on a mandatory basis July 1, 2008) supersedes and preempts several existing Wisconsin franchise rules establishing requirements for disclosure documents used in connection with the offer and sale of franchises to persons in Wisconsin, the Wisconsin franchise rules so impacted need to be revised to be consistent with the FTC Rule. As a related matter, remedial franchise-related legislation was enacted in
2007 Wisconsin Act 150 (effective April 5, 2008) which made a necessary statutory change to make Wisconsin's timing deadline within which franchisors must provide a franchise disclosure document to a prospective purchaser, consistent with the recent FTC Franchise Rule change on that subject.
Policy Analysis
The Wisconsin Securities Law rules relating to the corresponding statutory provisions of the Wisconsin Securities Law changed by
2007 Wisconsin Act 196 need to be revised and updated as necessary to be made consistent and thereby facilitate compliance by securities issuers and securities licensees for the benefit of Wisconsin public investors.
Similarly, the Wisconsin Franchise Law disclosure document-related rules impacted by the changes to the FTC Franchise Rule need to be revised and updated as necessary to be made consistent and thereby facilitate compliance by franchisors seeking to offer and sell franchises to persons in Wisconsin. For purposes of providing regulatory consistency among the 15 state jurisdictions (including Wisconsin) that regulate offers/sales of franchises, the Franchise and Business Opportunity Project Group of the North American Securities Administrators Association (“NASAA") developed in April, 2008, Draft 2008 Franchise Registration and Disclosure Guidelines (“ Franchise Guidelines") that state jurisdictions can adopt as the required format for franchise disclosure documents in states that register franchise offerings. Those Franchise Guidelines were developed to be, and are, consistent with the FTC Franchise Rule which allows franchise law states to impose additional disclosure requirements that are consistent with the FTC Franchise Rule. In that regard, the Franchise Guidelines adopt the FTC form of franchise disclosure document with the addition of a state cover page, and include new instructions for franchisors to file registrations with state administrators, as well as revised application forms. The proposed Wisconsin Franchise Rule revisions will include, via incorporation by reference, the above-described NASAA Franchise Guidelines and forms.
Statutory Authority
Sections
551.605 (1) (a),
(b),
(c),
(2),
(3) and
(4),
551.102 (2),
(4)(e),
(11) (p),
(15) (h),
(16) (d) and
(28) (h),
551.105,
551.201 (1) (b),
(3) (c),
(6),
(7) (intro.),
(a) and
(b),
551.202 (6),
(13) (c),
(14) (b) and
(23),
551.203,
551.302 (intro.),
(1) (a),
(b),
(c),
(3) and
(5),
551.304 (2) (intro.),
(r),
(3) and
(5),
551.305 (2),
(7),
(9),
(10) and
(11),
551.306 (1) (b),
551.401 (2) (h) and
(4) (intro.),
551.402 (2) (i) and
(5),
551.403 (2) (c),
551.404 (2) (b) and
(4),
551.405 (2) (a) 4.,
(c),
(3),
(4) (b) and
(c),
551.406 (1),
(3) (b),
(4) and
(5),
551.407 (4),
551.408 (5),
551.409,
551.411 (1),
(2),
(3) (a),
(c),
(5),
(6),
(7) and
(8),
551.411 (4) (b) and
(5),
551.502 (2) and
(3),
551.504 (1),
551.606 (3),
551.608 (2) (intro.),
551.611 (1),
551.614 (1) (b) 1.,
2. and
(4), Wis. Stats.
For the Franchise Law-related changes under Chapter
553, Wis. Stats:
Entities Affected by the Rule
Securities Law rules: Issuers of registered securities or securities exempt from registration, broker-dealers and their securities agents, investment advisers and their investment adviser representatives, federal and state securities regulatory authorities, and securities self-regulatory organizations.
Franchise Law rules: Franchisors making franchise registration filings in Wisconsin, all of which filings must include franchise disclosure documents covering prescribed categories of information.
Comparison with Federal Regulations
There are no newly-developed or proposed federal securities law-related regulations that are intended to be addressed by the proposed Wisconsin Securities Law rulemaking. However, the existing Wisconsin Securities Law and rules that currently coordinate with federal securities registration, registration exemption, broker-dealer and investment adviser licensing provisions will continue to be coordinated with corresponding federal requirements, consistent with current 551.67, Wis. Stats., and recently enacted 551.615, Wis. Stats. Each of those statute sections provide that "This Chapter shall be so construed as to effectuate its general purpose to make uniform the law of those states which enact the `Uniform Securities Act' and to coordinate the interpretation and administration of this Chapter with related federal regulation."
With regard to the proposed Wisconsin Franchise Law-related rulemaking, as stated above in the Objectives and the Policy Analysis sections of this Scope Statement, such rulemaking is necessary in order to make Wisconsin's franchise disclosure document-related rules consistent with the Federal Trade Commission's recently adopted FTC Franchise Rule.
Estimate of Time Needed to Develop the Rule
150 hours to develop the comprehensive revisions necessary to be made to the Wisconsin Securities Law Rules.
15 hours to develop the Franchise Law-related rules.
