440.44(9)(a)(a) During the period in which a contract described in
sub. (4) is in effect and for not less than 3 years after its completion, a professional fund-raiser shall retain all of the following records:
440.44(9)(a)1.
1. The name and, if known to the professional fund-raiser, the address of each person contributing and the date and amount of the contribution.
440.44(9)(a)2.
2. The name and residence address of each employe, agent or other person involved in the solicitation.
440.44(9)(a)3.
3. A record of all contributions that are at any time in the custody of the professional fund-raiser.
440.44(9)(a)4.
4. A record of all expenses incurred by the professional fund-raiser which the charitable organization is required to pay.
440.44(9)(a)5.
5. A record of the location and account number of each financial institution account in which the professional fund-raiser deposits contributions.
440.44(9)(b)
(b) If under a contract described in
sub. (4) the professional fund-raiser sells tickets to an event and represents that the tickets will be donated to an organization for use by others, the professional fund-raiser shall retain for the period specified in
par. (a) all of the following:
440.44(9)(b)1.
1. The name and address of the donors and the number of tickets donated by each donor.
440.44(9)(b)2.
2. The name and address of the organization receiving donated tickets and the number of donated tickets received by the organization.
440.44(9)(c)
(c) The professional fund-raiser shall make all records described in this subsection available for inspection by the department upon request.
440.44(10)
(10) Nondisclosure. The department may not disclose information under
sub. (9) (a) 1. to any person except to the extent necessary for investigative or law enforcement purposes.
440.44 History
History: 1991 a. 278,
315;
1995 a. 27.
440.45
440.45
Charitable sales promotions. If a commercial coventurer conducts a charitable sales promotion on behalf of a charitable organization that is required to be registered under
s. 440.42 (1), the commercial coventurer shall disclose in each advertisement for the charitable sales promotion the dollar amount, or percentage of price, per unit of goods or services purchased or used that will benefit the charitable organization or charitable purpose. If the actual dollar amount or percentage cannot reasonably be determined on the date of the advertisement, the commercial coventurer shall disclose an estimated dollar amount or percentage. The estimate shall be based upon all of the relevant facts known to the commercial coventurer and to the charitable organization regarding the charitable sales promotion.
440.45 History
History: 1991 a. 278.
440.455
440.455
Solicitation disclosure requirements. 440.455(1)(1) Except as provided in
sub. (4), if a professional fund-raiser or unpaid solicitor solicits a contribution for a charitable organization that is required to be registered under
s. 440.42 (1), the professional fund-raiser or unpaid solicitor shall, at the time of the solicitation or with a written confirmation of a solicitation, prior to accepting a contribution, make the following disclosures to the person from whom the contribution is solicited:
440.455(1)(a)
(a) The name and location of the charitable organization.
440.455(1)(b)
(b) That a financial statement of the charitable organization disclosing assets, liabilities, fund balances, revenue and expenses for the preceding fiscal year will be provided to the person upon request.
440.455(1)(c)
(c) A clear description of the primary charitable purpose for which the solicitation is made.
440.455(2)
(2) The financial statement under
sub. (1) (b) shall, at a minimum, divide expenses into categories of management and general, program services and fund-raising. If the charitable organization is required to file an annual financial report under
s. 440.42 (3) (a), the financial statement under
sub. (1) (b) shall be consistent with that annual financial report.
440.455(3)
(3) In addition to the requirements under
subs. (1) and
(2), except as provided in
sub. (4), if a professional fund-raiser solicits on behalf of a charitable organization that is required to be registered under
s. 440.42 (1), all of the following apply:
440.455(3)(a)
(a) If a solicitation is made orally, including a solicitation made by telephone, the professional fund-raiser shall send a written confirmation, within 5 days after the solicitation, to each person contributing or pledging to contribute. The written confirmation shall include a clear and conspicuous disclosure of the name of the professional fund-raiser and that the solicitation is being conducted by a professional fund-raiser.
440.455(3)(b)
(b) The professional fund-raiser may not represent that any part of the contributions received by the professional fund-raiser will be given or donated to a charitable organization unless that charitable organization has, prior to the solicitation, consented in writing, signed by 2 authorized officers, directors or trustees of that other charitable organization, to the use of its name.
440.455(3)(c)
(c) The professional fund-raiser may not represent that tickets to an event will be donated to an organization for use by others unless all of the following conditions are met:
440.455(3)(c)1.
1. The professional fund-raiser has a commitment, in writing, from the organization stating that the organization will accept donated tickets and specifying the number of donated tickets that the organization is willing to accept.
440.455(3)(c)2.
2. The professional fund-raiser solicits contributions for donated tickets from no more contributors than the number of tickets that the organization has agreed to accept under
subd. 1.
440.455(4)
(4) A charitable organization that operates solely within one community and that received less than $50,000 in contributions during its most recently completed fiscal year may apply to the department for an exemption from the disclosure requirements under this section. The department shall promulgate rules specifying the criteria for eligibility for an exemption under this paragraph, and shall grant exemptions from the disclosure requirements under this section to a charitable organization that satisfies those criteria.
440.455 History
History: 1991 a. 278,
315.
440.46
440.46
Prohibited acts. 440.46(1)(1) No person may, in the planning, management or execution of a solicitation or charitable sales promotion, do any of the following:
440.46(1)(a)
(a) Use an unfair or deceptive act or practice.
440.46(1)(b)
(b) Imply that a contribution is for or on behalf of a charitable organization or use any emblem, device or printed matter belonging to or associated with a charitable organization without first being authorized in writing to do so by the charitable organization.
440.46(1)(c)
(c) Use a name, symbol or statement so closely related or similar to that used by another charitable organization that the use of the name, symbol or statement would tend to confuse or mislead a person being solicited.
440.46(1)(d)
(d) Represent or lead anyone in any manner to believe that the person on whose behalf a solicitation or charitable sales promotion is being conducted is a charitable organization or that the proceeds of the solicitation or charitable sales promotion will be used for charitable purposes if that is not the fact.
440.46(1)(e)
(e) Lead anyone in any manner to believe that another person sponsors, endorses or approves a solicitation or charitable sales promotion if the other person has not sponsored, endorsed or approved the solicitation or charitable sales promotion in writing.
440.46(1)(f)
(f) Use the fact of registration to lead any person to believe that the registration constitutes an endorsement or approval by the state.
440.46(1)(g)
(g) Represent directly or by implication that a charitable organization will receive a fixed or estimated percentage of the gross revenue raised greater than that established under
s. 440.44 (4).
440.46(2)
(2) In deciding whether an act or practice is unfair or deceptive within the meaning of
sub. (1) (a), definitions, standards and interpretations relating to unfair or deceptive acts or practices under
chs. 421 to
427 apply.
440.46 History
History: 1991 a. 278.
440.47
440.47
Administration and investigations. 440.47(1)
(1)
Public records. Except as provided in
ss. 440.43 (5) and
440.44 (10), registration statements, applications, reports, contracts and agreements of charitable organizations, fund-raising counsel, professional fund-raisers and unpaid solicitors and all other documents and information retained by or filed with the department under this subchapter are available for inspection or copying under
s. 19.35 (1).
440.47(2)
(2) Fiscal records; inspection; retention. All charitable organizations, fund-raising counsels, professional fund-raisers and unpaid solicitors shall keep true records concerning activities regulated by this subchapter in a form that will enable them accurately to provide the information required by this subchapter. Upon demand, those records shall be made available to the department for inspection and copying. The records shall be retained by the charitable organization, fund-raising counsel, professional fund-raiser or unpaid solicitor for at least 3 years after the end of the fiscal year to which they relate.
440.47(3)
(3) Exchange of information. The department may exchange with the appropriate authority of any other state or of the United States information with respect to charitable organizations, fund-raising counsel, professional fund-raisers, unpaid solicitors and commercial coventurers.
440.47(4)
(4) Examination of documents and witnesses. 440.47(4)(a)(a) If the department or the department of justice has reason to believe a person has violated or is violating this subchapter or the rules promulgated under this subchapter, it may conduct an investigation to determine whether the person has violated or is violating those provisions. The department of justice may subpoena persons and require the production of books and other documents to aid in its investigations of alleged violations of this subchapter.
440.47(4)(b)
(b) A person upon whom a notice of the taking of testimony or examination of documents is served under this subsection shall comply with the terms of the notice unless otherwise provided by the order of a court of this state.
440.47(4)(c)
(c) The department of justice may file in the circuit court for the county in which a person resides or in which the person's principal place of business is located, or in the circuit court for Dane county if the person is a nonresident or has no principal place of business in this state, and serve upon the person, a petition for an order of the court for the enforcement of this subsection. Disobedience of a final order entered under this paragraph by a court is punishable as a contempt of court under
ch. 785.
440.47(5)
(5) Substitute service upon department of financial institutions. A charitable organization, fund-raising counsel, professional fund-raiser or commercial coventurer that has its principal place of business outside of this state or is organized under laws other than the laws of this state and that is subject to this subchapter shall be considered to have irrevocably appointed the department of financial institutions as its agent for the service of process or notice directed to the charitable organization, fund-raising counsel, professional fund-raiser or commercial coventurer or to any of its partners, principal officers or directors in an action or proceeding brought under this subchapter. Service of process or notice upon the department of financial institutions shall be made by personally delivering to and leaving with the department of financial institutions a copy of the process or notice. That service shall be sufficient service if the department of financial institutions immediately sends notice of the service and a copy of the process or notice to the charitable organization, fund-raising counsel, professional fund-raiser, commercial coventurer or other person to whom it is directed by registered mail, with return receipt requested, at the last address known to the department of financial institutions.
440.47 History
History: 1991 a. 278;
1995 a. 27.
440.475
440.475
Disciplinary actions. 440.475(1)
(1) The department may deny, limit, suspend or revoke the registration of a charitable organization, fund-raising counsel or professional fund-raiser, or may reprimand a charitable organization, fund-raising counsel or professional fund-raiser that is registered under this subchapter, if the department finds that the charitable organization, fund-raising counsel or professional fund-raiser has made a false statement in any registration statement, annual report or other information required to be filed under, or has otherwise violated, this subchapter or the rules promulgated under this subchapter.
440.475(2)
(2) In addition to or in lieu of a reprimand or a denial, limitation, suspension or revocation of a certificate under
sub. (1), the department may assess against any person who violates this subchapter or the rules promulgated under this subchapter a forfeiture of not less than $100 nor more than $1,000 for each violation.
440.475 History
History: 1991 a. 278.
440.48
440.48
Penalties and enforcement. 440.48(1)(a)(a) The department of justice may bring an action to prosecute a violation of this subchapter or the rules promulgated under this subchapter, including an action for temporary or permanent injunction.
440.48(1)(b)
(b) Upon finding that a person has violated this subchapter or the rules promulgated under this subchapter, the court may make any necessary order or judgment, including but not limited to injunctions, restitution and, notwithstanding
s. 814.04, award of reasonable attorney fees and costs of investigation and litigation, and, except as provided in
par. (c), may impose a forfeiture of not less than $100 nor more than $10,000 for each violation.
440.48(1)(c)1.1. A person who violates
s. 440.47 (4) (b) may be required to forfeit not more than $5,000, unless the person establishes reasonable cause for the violation.
440.48(1)(c)2.
2. A person who, with intent to avoid, prevent or interfere with a civil investigation under this subsection, does any of the following may be required to forfeit not more than $5,000:
440.48(1)(c)2.a.
a. Alters or by any other means falsifies, removes from any place, conceals, withholds, destroys or mutilates any documentary material in the possession, custody or control of a person subject to notice of the taking of testimony or examination of documents under
s. 440.47 (4).
440.48(1)(d)
(d) A charitable organization, fund-raising counsel, professional fund-raiser, commercial coventurer or any other person who violates the terms of an injunction or other order entered under this subsection may be required to forfeit, in addition to all other remedies, not less than $1,000 nor more than $10,000 for each violation. The department of justice may recover the forfeiture in a civil action. Each separate violation of an order entered under this subsection is a separate offense, except that each day of a violation through continuing failure to obey an order is a separate offense.
440.48(1)(e)
(e) No charitable organization may indemnify an officer, employe or director for any costs, fees, restitution or forfeitures assessed against that individual by the court under
par. (b),
(c) or
(d) unless the court determines that the individual acted in good faith and reasonably believed the conduct was in or not opposed to the best interests of the charitable organization.
440.48(2)
(2) The department or the department of justice may accept a written assurance of discontinuance of any act or practice alleged to be a violation of this subchapter or the rules promulgated under this subchapter from the person who has engaged in the act or practice. The assurance may, among other terms, include a stipulation for the voluntary payment by the person of the costs of investigation, or of an amount to be held in escrow pending the outcome of an action or as restitution to aggrieved persons, or both. The department or department of justice may at any time reopen a matter in which an assurance of discontinuance is accepted for further proceedings if the department or department of justice determines that reopening the matter is in the public interest.
440.48 History
History: 1991 a. 278.
PEDDLERS
440.51
440.51
Statewide peddler's licenses for ex-soldiers. Any ex-soldier of the United States in any war, who has a 25% disability or more or has a cardiac disability recognized by the U.S. department of veterans affairs, and any person disabled to the extent of the loss of one arm or one leg or more or who has been declared blind as defined under Title XVI of the social security act, shall, upon presenting the department proof of these conditions, be granted a special statewide peddler's license without payment of any fee. The person must have been a bona fide resident of this state for at least 5 years preceding the application. While engaged in such business the person shall physically carry the license and the proof required for its issuance. A blind person shall also carry an identification photograph which is not more than 3 years old. A license issued under this section shall not entitle a blind person to peddle for hire for another person. A license issued under this section is permanent unless suspended or revoked by the department.
BARBERING AND COSMETOLOGY SCHOOLS
440.60
440.60
Definitions. As used in this subchapter unless the context requires otherwise:
440.60(13)
(13) "Practical instruction" means training through action or direct contact with a patron or model other than a mannequin.
440.60(14)
(14) "School" means any facility, other than a specialty school, that offers instruction in barbering or cosmetology, aesthetics, electrology or manicuring.
440.60(15)
(15) "Specialty school" means an establishment that offers instruction in aesthetics, electrology or manicuring.
