202.07(4)
(4) An administrative warning is a public record subject to inspection or copying under
s. 19.35.
202.07 History
History: 2013 a. 20.
202.08(1)(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.
202.08(2)
(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.
202.08 History
History: 2013 a. 20.
202.09
202.09
Debit or credit card payments; collection of registration for nonpayment by financial institution. 202.09(1)(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.
202.09(2)
(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).
202.09(3)
(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:
202.09(3)(a)
(a) Pays the fee for which the unpaid check or demand for payment under the debit or credit card transaction was issued.
202.09(3)(c)
(c) Pays the charge for an unpaid draft established by the depository selection board under
s. 20.905 (2).
202.09(4)
(4) The department may extend the date for cancellation to allow the registrant additional time to comply with
sub. (3) (a) to
(c).
202.09(5)
(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.
202.09 History
History: 2013 a. 20.
202.095
202.095
Rules. The department shall promulgate rules to implement this chapter.
202.095 History
History: 2013 a. 20.
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 used clothing or household goods, to a charitable organization or for a charitable purpose. "Contribution" does not include income from any of the following:
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 person who employs another person to solicit in this state.
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)(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.
202.11 History
History: 1991 a. 278,
315;
1999 a. 9;
2013 a. 20 ss.
1990,
2189 to
2208; Stats. 2013 s. 202.11.
202.12
202.12
Regulation of charitable organizations. 202.12(1)(1)
Annual 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) The department shall promptly register a charitable organization that does all of the following:
202.12(1)(b)1.
1. Submits to the department an application for registration on a form provided by the department.
202.12(1)(b)2.
2. Submits to the department a registration statement that complies with
sub. (2).
202.12(1)(b)2g.
2g. Submits to the department an annual financial report for the most recently completed fiscal year of the charitable organization, if the charitable organization received contributions in excess of $5,000 but not more than $100,000 during its most recently completed fiscal year.
202.12(1)(b)2r.
2r. Submits to the department an audited financial statement for the most recently completed fiscal year of the charitable organization, if the charitable organization received contributions in excess of $100,000 during its most recently completed fiscal year.
202.12(1)(b)3.
3. Pays to the department the registration fee determined by the department under
s. 202.08.
202.12(1)(c)
(c) The department shall issue a certificate of registration to each charitable organization that is registered under this subsection. Renewal applications shall be submitted to the department, in a form and manner prescribed by the department, by August 1 of each year and shall include a registration statement that complies with
sub. (2) and the renewal fee determined by the department under
s. 202.08.
202.12(1)(d)
(d) Upon the department's review of an application for registration or for renewal of a registration under this subsection, the department shall notify the charitable organization of any deficiencies in the application, registration statement, or fee payment.
202.12(2)
(2) Registration statement. Except as provided in
sub. (3), a registration statement required under
sub. (1) shall be signed and sworn to by 2 authorized officers, including the chief fiscal officer, of the charitable organization and shall include all of the following:
202.12(2)(a)
(a) The name of the charitable organization and the purpose for which it is organized.
202.12(2)(b)
(b) The address and telephone number, and electronic mail address, if available, of the charitable organization and the address and telephone number of any offices in this state or, if the charitable organization does not have an address, the name, address, and telephone number of the person having custody of its financial records.
202.12(2)(c)
(c) The names and the addresses of the officers, directors, trustees, and principal salaried employees of the charitable organization.
202.12(2)(f)
(f) A statement of whether the charitable organization is authorized by any other governmental authority to solicit.
202.12(2)(g)
(g) A statement of whether the charitable organization has ever had its authority to solicit denied, suspended, revoked, or enjoined by a court or other governmental authority.
202.12(2)(h)
(h) The charitable purpose or purposes for which contributions will be used.
202.12(2)(i)
(i) The name or names under which it intends to solicit.
202.12(2)(j)
(j) The names of the persons within the charitable organization who have final responsibility for the custody of contributions.
202.12(2)(k)
(k) The names of the persons within the charitable organization who are responsible for the final distribution of contributions.
202.12(2)(L)
(L) If the registration statement is submitted to the department with an initial application for registration, all of the following:
202.12(2)(L)1.
1. A copy of the charitable organization's charter, articles of organization, agreement of association, instrument of trust, constitution, or other organizational instrument and bylaws.
202.12(2)(L)2.
2. A statement of the place where and the date when the charitable organization was legally established, the form of its organization, and whether it has tax-exempt status.
202.12(2)(L)3.
3. Copies of any federal or state tax exemption determination letters received by the charitable organization.
202.12(2)(m)
(m) Any other information required by the department.
202.12(3)
(3) Annual financial report; audit requirement. 202.12(3)(a)(a) Except as provided in
pars. (am),
(b), and
(bm), and in rules promulgated under
sub. (8), a charitable organization that received contributions in excess of $5,000 during its most recently completed fiscal year shall file with the department an annual financial 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 financial report shall be filed within 12 months after the end of that fiscal year and shall include all of the following:
202.12(3)(a)2.
2. A statement of support, revenue, expenses, and changes in fund balance.
202.12(3)(a)3.
3. A statement of functional expenses that, at a minimum, is divided into categories of management and general, program services and fund-raising.
202.12(3)(a)4.
4. Other financial information that the department requires.
202.12(3)(am)
(am) 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 reporting requirement under
par. (a). The department shall promulgate rules specifying the criteria for eligibility for an exemption under this paragraph, and shall grant exemptions from the reporting requirement under
par. (a) to a charitable organization that satisfies those criteria.
202.12(3)(b)
(b) Except as provided in rules promulgated under
sub. (8), if a charitable organization received contributions in excess of $400,000 during its most recently completed fiscal year, the charitable organization shall file with the department, in lieu of a report under
par. (a), 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 6 months after the end of that fiscal year.
202.12(3)(bm)
(bm) Except as provided in rules promulgated under
sub. (8), if a charitable organization received contributions in excess of $200,000 but less than $400,000 during its most recently completed fiscal year, the charitable organization shall file with the department, in lieu of a report under
par. (a), 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 6 months after the end of that fiscal year.
202.12(3)(c)
(c) Except as provided in rules promulgated under
sub. (8), a charitable organization that is registered under
sub. (1) and that received $5,000 or less in contributions during its most recently completed fiscal year shall file with the department an affidavit that the charitable organization received $5,000 or less in contributions during that fiscal year. The affidavit shall be signed and sworn to by 2 authorized officers, including the chief fiscal officer, of the charitable organization and shall be filed within 6 months after the end of that fiscal year.
