reglab/statecodes huggingface dataset:
2023 Wisconsin Statutes & Annotations › Chapter 462 - Radiographers and limited x-ray machine operators. › 462.04 - Prescription or order required.

462.04
Prescription or order required.
A person who holds a license or limited X-ray machine operator permit under this chapter may not use diagnostic X-ray equipment on humans for diagnostic purposes unless authorized to do so by prescription or order of a physician licensed under s. 448.04 (1) (a), a naturopathic doctor licensed under s. 466.04 (1), a dentist licensed under s. 447.04 (1), a podiatrist licensed under s. 448.63, a chiropractor licensed under s. 446.02, an advanced practice nurse certified under s. 441.16 (2), a physician assistant licensed under s. 448.974, or, subject to s. 448.56 (7) (a), a physical therapist who is licensed under s. 448.53 or who holds a compact privilege under subch. XI of ch. 448.
NOTE: This section is shown as amended by 2021 Wis. Acts 23 and 251 and as merged by the legislative reference bureau under s. 13.92 (2) (i). The cross-reference to subch. XI of ch. 448 was changed from subch. X of ch. 448 by the legislative reference bureau under s. 13.92 (1) (bm) 2. to reflect the renumbering under s. 13.92 (1) (bm) 2. of subch. X of ch. 448.
History:  2009 a. 106; 2015 a. 375; 2019 a. 100; 2021 a. 23, 130, 251; s. 13.92 (1) (bm) 2.; s. 13.92 (2) (i).
2023 Wisconsin Statutes & Annotations › Chapter 462 - Radiographers and limited x-ray machine operators. › 462.05 - Renewal of license, permit.

462.05
Renewal of license, permit.
(1)
The renewal date for licenses and limited X-ray machine operator permits granted under this chapter is specified in s. 440.08 (2) (a). Renewal applications shall be submitted to the department on a form provided by the department and shall include the renewal fee determined by the department under s. 440.03 (9) (a).
(2)
(a)
A radiographer or limited X-ray machine operator is not eligible for renewal of a license or permit under sub. (1) unless the radiographer or limited X-ray machine operator has complied with the continuing education requirements established by the board under s. 462.06 (1) (c).
(b)
Paragraph (a) does not apply to a radiographer or limited X-ray machine operator if the radiographer or limited X-ray machine operator is applying for renewal for the first time.
History:  2009 a. 106.
2023 Wisconsin Statutes & Annotations › Chapter 462 - Radiographers and limited x-ray machine operators. › 462.06 - Rule making.

462.06
Rule making.
(1)
The board shall promulgate rules that do all of the following:
(a)
Establish standards for courses of study in radiography. The standards shall be no less stringent than the standards adopted by the Joint Review Committee on Education in Radiologic Technology or a successor organization.
(b)
Establish standards for examinations under s. 462.03 (2) and (3). Notwithstanding s. 462.03 (2) and (3), the rules may permit a person to satisfy the examination requirement by providing the board with evidence satisfactory to the board that the person holds a current registration by the American Registry of Radiologic Technologists or a successor organization or is currently licensed to practice radiography in another state with examination standards at least as stringent as those promulgated by the board under this paragraph. The board may adopt a limited scope radiography examination administered by the American Registry of Radiologic Technologists, a successor organization, or other recognized national voluntary credentialing body, if the examination standards are at least as stringent as those adopted by the board under this paragraph.
(c)
Establish continuing education standards for renewal of licenses and limited X-ray machine operator permits issued under this chapter. The standards adopted under this paragraph may recognize current certification by the American Registry of Radiologic Technologists or a successor organization as evidence of compliance with the continuing education standards established under this paragraph, if the continuing education requirements for such certification are no less stringent than those adopted by the board under this paragraph.
(2)
The board may promulgate rules that establish a code of ethics for persons who hold a license or limited X-ray machine operator permit under s. 462.03.
History:  2009 a. 106.
2023 Wisconsin Statutes & Annotations › Chapter 462 - Radiographers and limited x-ray machine operators. › 462.07 - Discipline.

462.07
Discipline.
(1)
Subject to the rules promulgated under s. 440.03 (1), the board may conduct investigations and hearings to determine whether a person has violated this chapter or a rule promulgated under this chapter.
(2)
Subject to the rules promulgated under s. 440.03 (1), if a person who applies for or holds a license or limited X-ray machine operator permit under s. 462.03 does any of the following, the board may reprimand the person or deny, limit, suspend, or revoke the person's license or permit:
(a)
Makes a material misstatement in an application for a license or permit under s. 462.03 or an application for renewal of a license or permit.
(b)
Violates any law of this state or federal law that substantially relates to the practice of radiography, violates this chapter, or violates a rule promulgated under this chapter, including a provision of a code of ethics promulgated under s. 462.06 (2).
(c)
Materially assists a person who does not hold a license or permit under s. 462.03 to engage in the practice of radiography.
(d)
Advertises, practices, or attempts to practice under another person's name.
(e)
Engages in unprofessional conduct, as defined by the board by rule.
(f)
Subject to ss. 111.321, 111.322, and 111.335, is arrested for or convicted of an offense the circumstances of which substantially relate to the practice of radiology.
History:  2009 a. 106.
2023 Wisconsin Statutes & Annotations › Chapter 463 - Body art and tanning facilities. › 463.14 - Denial, nonrenewal and revocation of license or permit based on delinquent taxes or unemployment insurance contributions.

463.14
Denial, nonrenewal and revocation of license or permit based on delinquent taxes or unemployment insurance contributions.
(1)
Except as provided in sub. (1m), the department shall require each applicant to provide the department with the applicant's social security number, if the applicant is an individual, or the applicant's federal employer identification number, if the applicant is not an individual, as a condition of issuing or renewing a license under s. 463.10 or 463.12, or a permit under s. 463.25.
(1m)
If an individual who applies for or to renew a license or permit under sub. (1) does not have a social security number, the individual, as a condition of obtaining the license or permit, shall submit a statement made or subscribed under oath or affirmation to the department that the applicant does not have a social security number. The form of the statement shall be prescribed by the department of children and families. A license or permit issued or renewed in reliance upon a false statement submitted under this subsection is invalid.
(2)
The department may not disclose any information received under sub. (1) to any person except to the department of revenue for the sole purpose of requesting certifications under s. 73.0301 and to the department of workforce development for the sole purpose of requesting certifications under s. 108.227.
(3)
Except as provided in sub. (1m), the department shall deny an application for the issuance or renewal of a license or permit specified in sub. (1) if the applicant does not provide the information specified in sub. (1).
(4)
The department shall deny an application for the issuance or renewal of a license or permit specified in sub. (1), or shall revoke the license or permit specified in sub. (1), if the department of revenue certifies under s. 73.0301 that the applicant for or holder of the license or permit is liable for delinquent taxes.
(5)
The department shall deny an application for the issuance or renewal of a license or permit specified in sub. (1), or shall revoke the license or permit specified in sub. (1), if the department of workforce development certifies under s. 108.227 that the applicant for or holder of the license or permit is liable for delinquent unemployment insurance contributions.
History:  1997 a. 237; 1999 a. 9; 2007 a. 20; 2013 a. 36; 2015 a. 55 s. 4043; Stats. 2015 s. 463.14.
2023 Wisconsin Statutes & Annotations › Chapter 463 - Body art and tanning facilities. › 463.18 - Violation of law relating to body art.

463.18
Violation of law relating to body art.
Any person who willfully violates or obstructs the execution of any state statute or rule, county, city, or village ordinance or departmental order under this chapter and relating to the public health, for which no other penalty is prescribed, shall be fined not more than $500 or imprisoned for not more than 30 days or both.
History:  2015 a. 55.
2023 Wisconsin Statutes & Annotations › Chapter 466 - Naturopathic doctors. › 466.03 - Duties and powers of examining board.

466.03
Duties and powers of examining board.
(1)
The board shall promulgate rules that establish all of the following:
(a)
Standards of practice for and a code of ethics governing the professional conduct of naturopathic doctors and limited-scope naturopathic doctors.
(b)
Continuing education requirements for applicants seeking renewal of a naturopathic doctor license under this chapter.
(bm)
Continuing education requirements for applicants seeking renewal of a limited-scope naturopathic doctor license under this chapter. The board shall accept qualifying training that is completed to satisfy the requirement under s. 466.04 (2) (b) 5. d. as qualifying continuing education under this paragraph.
(c)
Examination standards and requirements for purposes of examinations required under s. 466.04 (1) (e), including required passing scores for examinations and the times when examinations are offered.
(2)
The board may promulgate rules to do any of the following:
(a)
Further interpret s. 466.01 (6) (a) and (c), including to identify diagnostic, therapeutic, or other practices or procedures that may be used by naturopathic doctors. The board may not authorize a naturopathic doctor to engage in any practice excluded from the definition of naturopathic medicine under s. 466.01 (6) (c) or otherwise expand the scope of practice of a naturopathic doctor or limited-scope naturopathic doctor beyond what is specified under s. 466.01 (6) (a).
(am)
Expressly prohibit diagnostic, therapeutic, or other practices.
(b)
Establish character and fitness requirements for initial licensure or renewal of a license under this chapter and evidence required to demonstrate satisfaction of such requirements.
(c)
Establish physical and mental competency requirements for initial licensure or renewal of a license under this chapter and evidence required to demonstrate satisfaction of such requirements.
(d)
Establish evidence of professional competency requirements for initial licensure or renewal of a license under this chapter, including evidence relating to an applicant's licensure status in other states.
(e)
Establish additional clinical, practical, or residency requirements for initial licensure under this chapter.
(f)
Adopt minimum malpractice insurance requirements for naturopathic doctors and limited-scope naturopathic doctors.
(3)
The board may, for purposes of s. 466.04 (1) (d) 1. e., 2. d., 3. d., and 4. e., disqualify any naturopathic medical program if the board determines the program does not adequately prepare students to practice naturopathic medicine.
History:  2021 a. 130.
2023 Wisconsin Statutes & Annotations › Chapter 466 - Naturopathic doctors. › 466.05 - Practice.

466.05
Practice.
(1)
(a)
A naturopathic doctor may practice naturopathic medicine.
(b)
A naturopathic doctor may, except as otherwise prohibited by the board by rule, utilize routes of administration that include oral, nasal, auricular, ocular, rectal, vaginal, transdermal, intramuscular, intravenous, intradermal, and subcutaneous, consistent with the education and training of a naturopathic doctor.
(2)
(a)
1.
Subject to subd. 3. and except as provided in subd. 2., a limited-scope naturopathic doctor may practice naturopathic medicine, but limited to what is specified under s. 466.01 (6) (a) 1. and 3. a. to c., except for s. 466.01 (6) (a) 1. d. to f.
2.
A limited-scope naturopathic doctor may practice naturopathic medicine beyond what is authorized in subd. 1. if he or she demonstrates to the board that he or she is qualified to expand his or her scope of practice beyond what is authorized under subd. 1. If the limited-scope naturopathic doctor demonstrates to the board that he or she is qualified to expand his or her scope of practice, he or she may, subject to subd. 3., practice as authorized by the board, but not beyond what is authorized under sub. (1).
3.
A limited-scope naturopathic doctor shall limit his or her practice to the scope of his or her experience, education, and training.
(b)
Paragraph (a) applies notwithstanding any other provision of law that permits a naturopathic doctor to engage in any act that constitutes naturopathic medicine beyond what is authorized under par. (a).
History:  2021 a. 130.
2023 Wisconsin Statutes & Annotations › Chapter 466 - Naturopathic doctors. › 466.07 - Disciplinary proceedings and actions.

466.07
Disciplinary proceedings and actions.
(1)
Subject to the rules promulgated under s. 440.03 (1), the board may make investigations and conduct hearings to determine whether a violation of this chapter or any rule promulgated under this chapter has occurred.
(2)
Subject to the rules promulgated under s. 440.03 (1), the board may reprimand a naturopathic doctor or limited-scope naturopathic doctor or may deny, limit, suspend, or revoke a license granted under this chapter if it finds that the applicant, naturopathic doctor, or limited-scope naturopathic doctor has done any of the following:
(a)
Made a material misstatement in an application for a license, or for renewal of a license.
(b)
Interfered with an investigation or disciplinary proceeding by using threats, harassment, or intentional misrepresentation of facts.
(c)
Subject to ss. 111.321, 111.322, and 111.335, been convicted of an offense the circumstances of which substantially relate to the practice of naturopathic medicine.
(d)
Been adjudicated mentally incompetent by a court.
(e)
Advertised in a manner that is false, deceptive, or misleading.
(f)
Advertised, practiced, or attempted to practice under another's name.
(g)
Subject to ss. 111.321, 111.322, and 111.34, practiced or assisted in the practice of naturopathic medicine while the applicant's or licensee's ability to practice or assist was impaired by alcohol or other drugs.
(h)
Engaged in unprofessional or unethical conduct in violation of the code of ethics established in the rules promulgated under s. 466.03 (1) (a).
(i)
Engaged in conduct while practicing naturopathic medicine that evidences a lack of knowledge or ability to apply professional principles or skills.
(j)
Violated this chapter or any rule promulgated under this chapter.
History:  2021 a. 130.
2023 Wisconsin Statutes & Annotations › Chapter 470 - Examining board of professional geologists, hydrologists and soil scientists. › 470.02 - License required.

470.02
License required.
Except as provided in s. 470.025 or 470.045, no person may do any of the following:
(1)
Engage or offer to engage in the practice of professional geology, designate himself or herself as a professional geologist, use or assume the title “professional geologist" or any other title, letters or designation which represents or may tend to represent the person as a professional geologist unless the person is licensed by the professional geologist section under this chapter.
(2)
Engage or offer to engage in the practice of professional hydrology, designate himself or herself as a professional hydrologist, use or assume the title “professional hydrologist" or any other title, letters or designation which represents or may tend to represent the person as a professional hydrologist unless the person is licensed by the professional hydrologist section under this chapter.
(3)
Engage or offer to engage in the practice of professional soil science, designate himself or herself as a professional soil scientist, use or assume the title “professional soil scientist" or any other title, letters or designation which represents or may tend to represent the person as a professional soil scientist unless the person is licensed by the professional soil scientist section under this chapter.
History:  1997 a. 300.
2023 Wisconsin Statutes & Annotations › Chapter 470 - Examining board of professional geologists, hydrologists and soil scientists. › 470.03 - Duties of the examining board.

470.03
Duties of the examining board.
(1)
The examining board shall do all of the following:
(a)
Upon the advice of the professional geologist section, promulgate rules establishing requirements and standards for the practice of professional geology by a person who is licensed as a professional geologist under this chapter, including a code of ethics that governs the practice of professional geology.
(b)
Upon the advice of the professional hydrologist section, promulgate rules establishing requirements and standards for the practice of professional hydrology by a person who is licensed as a professional hydrologist under this chapter, including a code of ethics that governs the practice of professional hydrology.
(c)
Upon the advice of the professional soil scientist section, promulgate rules establishing requirements and standards for the practice of professional soil science by a person who is licensed as a professional soil scientist under this chapter, including a code of ethics that governs the practice of professional soil science.
(2)
Upon the advice of the appropriate section of the examining board, the examining board may promulgate rules that establish continuing education requirements that a person must satisfy to be eligible to renew a license that is issued under this chapter.
(3)
Upon the advice of the appropriate section of the examining board, the examining board may promulgate rules that exempt a person who is engaged in a profession related to those listed in s. 470.025 (12) (intro.) from the requirement to obtain a license under this chapter if the practice of the profession by the person involves only the incidental practice of geology, hydrology, or soil science, as defined in s. 470.025 (12) (a), and the person does not designate himself or herself as a professional geologist, hydrologist, or soil scientist or use any other title, letters, or designation that represents or tends to represent that the person is a professional geologist, hydrologist, or soil scientist.
History:  1997 a. 300; 2001 a. 53.
2023 Wisconsin Statutes & Annotations › Chapter 470 - Examining board of professional geologists, hydrologists and soil scientists. › 470.05 - Examination.

470.05
Examination.
Examinations for licensure under this chapter shall require an applicant to demonstrate minimum competency in the principles and practice of subjects substantially related to the practice of professional geology, hydrology, or soil science and may consist of one or more written or oral tests, or both.
History:  1997 a. 300; 2017 a. 329.
2023 Wisconsin Statutes & Annotations › Chapter 470 - Examining board of professional geologists, hydrologists and soil scientists. › 470.06 - Reciprocal licenses.

470.06
Reciprocal licenses.
Upon application and payment of the fee specified in s. 440.05 (2), the appropriate section of the examining board may issue a professional geologist, hydrologist or soil scientist license to a person who has been issued a similar license by another state or territory of the United States or in another country if he or she submits evidence satisfactory to the section of all of the following:
(1)
That, subject to ss. 111.321, 111.322 and 111.335, he or she does not have an arrest or conviction record the circumstances of which substantially relate to the practice of professional geology, hydrology or soil science.
(2)
That the requirements of the other state, territory or country that issued the license are substantially equivalent to the requirements under this chapter.
History:  1997 a. 300.
2023 Wisconsin Statutes & Annotations › Chapter 470 - Examining board of professional geologists, hydrologists and soil scientists. › 470.07 - Renewal of licenses.

470.07
Renewal of licenses.
The renewal dates for licenses granted under this chapter are specified under s. 440.08 (2) (a). Renewal applications shall be submitted to the department on a form provided by the department and shall include the renewal fee determined by the department under s. 440.03 (9) (a) and evidence satisfactory to the appropriate section of the examining board that the applicant has completed any continuing education requirements specified in rules promulgated under s. 470.03 (2).
History:  1997 a. 300; 2007 a. 20.
2023 Wisconsin Statutes & Annotations › Chapter 470 - Examining board of professional geologists, hydrologists and soil scientists. › 470.09 - Penalties.

470.09
Penalties.
(1)
A person who violates this chapter or any rule promulgated under this chapter may be required to forfeit not more than $5,000 for the first offense and may be required to forfeit not more than $10,000 for the 2nd or any later offense within a year. Each day of continued violation constitutes a separate offense.
(2)
A person who willfully violates this chapter or any rule promulgated under this chapter may be fined not more than $10,000.
History:  1997 a. 300.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.01 - Definitions.

480.01
Definitions.
In this chapter:
(1)
“Auction" means a sale transaction conducted by means of oral or written exchanges between an auctioneer and prospective purchasers of goods or real estate that consist of a series of invitations made by the auctioneer to the prospective purchasers for offers for the purchase of goods or real estate and that culminate in the acceptance by the auctioneer of the highest or most favorable offer made by one of the prospective purchasers.
(2)
“Auction company" means a person who manages an auction or who has primary responsibility for handling sales proceeds, downpayments, earnest money deposits or other trust funds received by an auctioneer, the person's principal or any other person at or as a result of an auction.
(3)
“Auction company representative" means:
(a)
If the auction company is an individual, that individual.
(b)
If the auction company is a partnership, association or corporation, any partner of the partnership, officer or director of the association or officer or director of the corporation.
(4)
“Auctioneer" means an individual who engages in, or who by advertising or otherwise holds himself or herself out as being available to engage in, the calling for and the recognition and acceptance of offers for the purchase of goods or real estate at an auction.
(5)
“Board" means the auctioneer board.
(6)
“Registrant" means a person who is registered under this chapter.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.02 - Applicability.

480.02
Applicability.
(1)
This chapter applies after February 28, 1995.
(2)
This chapter does not apply to any of the following:
(a)
An auction conducted by or under the direction of an official of the United States or of this state or a county, city, village or town in this state.
(b)
An auction required by a court order or judgment.
(c)
A sale of goods or real estate required by law to be a sale by auction.
(d)
An auction conducted by the owner of the goods or real estate for sale if the owner has held the goods or real estate for his or her personal use for at least one year immediately preceding the date of the auction.
(e)
An auction conducted by or under the direction of a religious, fraternal or benevolent society, a school or a nonprofit organization.
(f)
An auction conducted by or under the direction of a political organization or candidate if the proceeds of the auction will be used for political purposes.
(g)
An auction in which the total appraised value of the goods or services for sale is less than $500.
(h)
Fur auctions and fur auctioneers licensed by the department of natural resources under ch. 29.
(i)
Motor vehicle auction dealers licensed by the department of transportation under subch. VIII of ch. 218.
(j)
A person, other than a licensee as defined in s. 452.01 (5), who conducts an auction, or manages or has primary responsibility for handling sales proceeds, downpayments, earnest money deposits or other trust funds received at or as a result of an auction, while lawfully practicing within the scope of a license, permit or certificate granted to that person by a state governmental agency other than the department.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.04 - General duties and powers of board.

480.04
General duties and powers of board.
(1)
In addition to the other duties and powers of the board under this chapter, the board shall advise the secretary on matters relating to auctioneers or auction companies or to the board.
(2)
The board does not have rule-making authority.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.06 - Rules; review of rules.

480.06
Rules; review of rules.
(1)
Before submitting any proposed rules relating to auctioneers or auction companies or to the board to the legislative council staff under s. 227.15, the department shall submit the proposed rules to the board for comment. The board shall have 30 days to submit comments on the proposed rules to the secretary.
(2)
When promulgating emergency rules under s. 227.24, the department shall provide a copy of the rules to the board prior to publication of the rules in the official state newspaper.
(3)
The chairperson of the board, or his or her designee from the board, may cochair with the secretary, or the secretary's designee, any public hearing held by the department on proposed rules relating to auctioneers or auction companies or to the board.
(4)
The department shall submit to the board a copy of the report required under s. 227.19 (2) on any proposed final rules relating to auctioneers or auction companies or to the board. The board may prepare a dissenting report stating its recommendations on the proposed final rules. Any dissenting report shall be prepared within 10 days from the date of receipt of the department's report, attached to the department's report and sent to the presiding officer of each house of the legislature and distributed under s. 227.19 (2). The department shall publish a statement to appear in the Wisconsin administrative register indicating that a dissenting report of the board has been submitted to the presiding officer of each house of the legislature.
(5)
The department shall provide staff to assist the board in the review of administrative rules and preparation of comments or dissenting reports.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.10 - Auctioneer examination.

480.10
Auctioneer examination.
(1)
The department shall conduct examinations for auctioneer registration at least semiannually at times and places determined by the department. The department shall provide public notice of each examination at least 60 days before the date of the examination.
(2)
Examinations shall consist of written or oral tests, or both, requiring applicants to demonstrate minimum competency in services and subjects substantially related to conducting an auction.
(3)
An individual is not eligible for examination unless the individual has satisfied the requirements for registration under s. 480.08 (2) (intro.) and (a) to (d) at least 30 days before the date of the examination.
(4)
The department shall promulgate rules establishing standards for public notice of examinations and for acceptable examination performance by an applicant for registration as an auctioneer.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.12 - Reciprocity.

480.12
Reciprocity.
(1)
Upon application and payment of the fee specified in s. 440.05 (2), the department shall register as an auctioneer an individual who holds an auctioneer certificate in another state if the department determines that the requirements for obtaining the certificate in the other state are substantially equivalent to the requirements under s. 480.08 (2).
(2)
The department may enter into reciprocal agreements with officials of other states for registering auctioneers and issue certificates to applicants who are registered in those states according to the terms of the reciprocal agreements.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.14 - Conduct of auctions.

480.14
Conduct of auctions.
(1)
No auctioneer may conduct an auction unless the auctioneer or the auction company that is managing the auction has entered into a written contract with each owner or consignor of goods or real estate that may be sold at the auction. The contract shall specify the terms and conditions upon which the auctioneer or auction company accepts the goods or real estate for sale.
(2)
An auctioneer shall comply with all reasonable requests of each owner or consignor of goods or real estate that may be sold at an auction that is conducted by the auctioneer and shall conduct the auction in a manner that ensures that the highest or most favorable offer for the goods or real estate is accepted.
(3)
Unless otherwise provided by the terms of a contract described under sub. (1), within 30 days after the sale of goods or real estate at an auction, the auctioneer who conducts the auction shall do all of the following:
(a)
Provide to each owner or consignor of goods or real estate that was sold or attempted to be sold at the auction an accounting of all moneys due the owner or consignor.
(b)
Pay to each owner or consignor of goods or real estate that was sold at the auction all moneys due the owner or consignor.
(4)
An auctioneer shall comply with all requirements for auctioneers under s. 402.328 and the rules promulgated under s. 402.328.
History:  1993 a. 102; 2009 a. 110.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.16 - Trust accounts.

480.16
Trust accounts.
All downpayments, earnest money deposits or other trust funds received by an auctioneer or auction company on behalf of the auctioneer's or auction company's principal or any other person shall be deposited in a common trust account maintained by the auctioneer or auction company for that purpose in a bank, savings and loan association or credit union which is authorized to do business in this state and is designated by the auctioneer or auction company pending the consummation or termination of the transaction, except that the money may be paid to one of the parties pursuant to an agreement between the parties. The name of the bank, savings and loan association or credit union shall at all times be registered with the department, along with a letter authorizing the department to examine and audit the trust account when the department determines that an examination or audit of the trust account is necessary.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.18 - Maintenance of records by auctioneers.

480.18
Maintenance of records by auctioneers.
(1)
Unless a longer period of retention is required under sub. (2), for at least 2 years after an auctioneer conducts an auction, the auctioneer shall maintain complete and accurate records of the auction, including the name and address of each owner or consignor of goods or real estate that was sold or attempted to be sold at the auction, a description of the goods or real estate that was sold or attempted to be sold at the auction, the originals or true copies of the contracts described in s. 480.14 (1) and accounts of all moneys received and disbursed at or as a result of the auction.
(2)
An auctioneer shall retain the records described in sub. (1) for at least 2 years after the termination of any litigation related to any goods or real estate that was sold or attempted to be sold at an auction conducted by the auctioneer.
(3)
An auctioneer shall, upon reasonable notice, make the records described in sub. (1) available for inspection and copying by the department or the board.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.20 - Advertisements of auctions.

480.20
Advertisements of auctions.
No person may advertise that an auction will be conducted unless the advertisement includes all of the following:
(1)
The name of the auctioneer who will conduct the auction and the name of any auction company that is managing the auction.
(2)
A statement that the auctioneer under sub. (1) is a “registered Wisconsin auctioneer".
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.22 - Auction consumer protection fund.

480.22
Auction consumer protection fund.
(1)
In this section, “consumer" means a person who has purchased or intends to purchase goods or real estate at an auction.
(2)
If the department determines that the establishment of a consumer protection fund is necessary to protect consumers and reimburse consumers who claim losses resulting from the illegal, unprofessional or unethical conduct of auctioneers or auction companies, the department shall prepare a report that includes relevant data related to consumers and a recommendation to establish a consumer protection fund that is similar to the cemetery consumer protection fund described in s. 440.92 (8), 1991 stats., and shall submit the report to the legislature under s. 13.172 (2).
History:  1993 a. 102, 491.
2023 Wisconsin Statutes & Annotations › Chapter 480 - Auctioneer board. › 480.26 - Penalties.

480.26
Penalties.
(1)
Any person who violates this chapter or any rule promulgated under this chapter may be fined not more than $1,000 or imprisoned for not more than 6 months or both.
(2)
In addition to or in lieu of the penalties under sub. (1) and the remedies under s. 480.24, any person who violates this chapter or any rule promulgated under this chapter may be required to forfeit not more than $1,000 for each separate offense. Each day of continued violation constitutes a separate offense.
History:  1993 a. 102.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.101 - Short title.

551.101
Short title.
This chapter shall be known and may be cited as the “Wisconsin Uniform Securities Law."
History:  2007 a. 196.
Regulating Wisconsin-based Businesses: The Wisconsin Uniform Securities Act. Fallone. Wis. Law. Oct. 2009.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.103 - References to federal statutes.

551.103
References to federal statutes.
“Securities Act of 1933" (15 USC 77a et seq.), “Securities Exchange Act of 1934" (15 USC 78a et seq.), “Public Utility Holding Company Act of 1935" (15 USC 79 et seq.), “Investment Company Act of 1940" (15 USC 80a-1 et seq.), “Investment Advisers Act of 1940" (15 USC 80b-1 et seq.), “Employee Retirement Income Security Act of 1974" (29 USC 1001 et seq.), “National Housing Act" (12 USC 1701 et seq.), “Commodity Exchange Act" (7 USC 1 et seq.), “Internal Revenue Code" (26 USC 1 et seq.), “Securities Investor Protection Act of 1970" (15 USC 78aaa et seq.), “Securities Litigation Uniform Standards Act of 1998" (112 Stat. 3227), “Small Business Investment Act of 1958" (15 USC 661 et seq.), and “Electronic Signatures in Global and National Commerce Act" (15 USC 7001 et seq.) mean those statutes and the rules and regulations adopted under those statutes, as in effect on the date of enactment of this chapter, or as later amended.
History:  2007 a. 196.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.105 - Electronic records and signatures.

551.105
Electronic records and signatures.
This chapter modifies, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, but does not modify, limit, or supersede section 101 (c) of that act (15 USC 7001 (c)) or authorize electronic delivery of any of the notices described in section 103 (b) of that act (15 USC 7003 (b)). This chapter authorizes the filing of records and signatures, when specified by provisions of this chapter or by a rule adopted or order issued under this chapter, in a manner consistent with section 104 (a) of that act (15 USC 7004 (a)).
History:  2007 a. 196.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.203 - Additional exemptions and waivers.

551.203
Additional exemptions and waivers.
A rule adopted or order issued under this chapter may exempt a security, transaction, or offer; a rule under this chapter may exempt a class of securities, transactions, or offers from any or all of the requirements of ss. 551.301 to 551.306 and 551.504; and an order under this chapter may waive, in whole or in part, any or all of the conditions for an exemption or offer under ss. 551.201 and 551.202.
History:  2007 a. 196.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.204 - Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.

551.204
Denial, suspension, revocation, condition, or limitation of exemptions; burden of proof; additional information.
(1)
Enforcement related powers. Except with respect to a federal covered security or a transaction involving a federal covered security, an order under this chapter may deny, suspend application of, condition, limit, or revoke an exemption created under s. 551.201 or 551.202 or an exemption or waiver created under s. 551.203 with respect to a specific security, transaction, or offer, except to the extent limited by the National Securities Markets Improvement Act of 1996. An order under this section may be issued only pursuant to the procedures in s. 551.306 (4) or s. 551.604 and only prospectively.
(2)
Knowledge of order required. A person does not violate s. 551.301, 551.303 to 551.306, 551.504, or 551.511 by an offer to sell, offer to purchase, sale, or purchase effected after the entry of an order issued under this section if the person did not know, and in the exercise of reasonable care could not have known, of the order.
(3)
Additional information required. With respect to an exemption under s. 551.201 or 551.202 that is perfected if a notice or other information is filed with the division of securities and the division does not disallow the exemption within a specified period after the filing, the division may, within 10 days after the filing date of the notice or other information, require that additional information reasonably related to the offering be filed. If the division requires additional information, the date by which the division may disallow the exemption is 10 days after the date of filing that information.
History:  2007 a. 196.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.206 - Adjustments.

551.206
Adjustments.
At 5-year intervals after January 1, 2014, the department of financial institutions shall adjust the monetary amounts specified in s. 551.202 (26) (c) 1. a. and b. and (27) (c) 1. a. and b. to reflect changes since January 1, 2014, in the consumer price index for all urban consumers, Milwaukee-Racine area average, as determined by the U.S. department of labor. Each adjustment shall be rounded to the nearest multiple of $50,000. Each adjustment under this section shall be published on the department of financial institutions Internet site.
History:  2013 a. 52; 2013 a. 151 s. 28.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.301 - Securities registration requirement.

551.301
Securities registration requirement.
It is unlawful for a person to offer or sell a security in this state unless any of the following apply:
(1)
The security is a federal covered security.
(2)
The security, transaction, or offer is exempted from registration under this chapter.
(3)
The security is registered under this chapter.
History:  2007 a. 196.
Section 551.21 (1) is violated through an offer to sell an unregistered security, even if no sale occurs. State v. Johnson, 2002 WI App 224, 257 Wis. 2d 736, 652 N.W.2d 642, 01-1092.
When a certificate of stock was mailed to the plaintiff in Wisconsin, and extensive solicitation was conducted by the defendants in Wisconsin, there was an “offer" within former s. 551.02. (11) (b), 1969 stats. Since the securities were neither registered in Wisconsin nor exempt from registration, the plaintiff was entitled to rescind the transaction and recover the purchase price of the securities, plus costs. Hardtke v. Love Tree Corp., 386 F. Supp. 1085 (1975).
Registration and reporting requirements for exempt transactions are discussed. Feitler v. Midas Associates, 418 F. Supp. 735 (1976).
NOTE:  The above annotations refer to ch. 551 as it existed prior to its repeal and recreation by 2007 Wis. Act 196.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.307 - Waiver and modification.

551.307
Waiver and modification.
The administrator may waive or modify, in whole or in part, any or all of the requirements of ss. 551.302, 551.303, and 551.304 (2) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to s. 551.305 (9).
History:  2007 a. 196.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.405 - Federal covered investment adviser notice filing requirement.

551.405
Federal covered investment adviser notice filing requirement.
(1)
Notice filing requirement. Except with respect to a federal covered investment adviser described in sub. (2), it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser complies with sub. (3).
(2)
Notice filing requirement not required. The following federal covered investment advisers are not required to comply with sub. (3):
(a)
A federal covered investment adviser without a place of business in this state if its only clients in this state are:
1.
Federal covered investment advisers, investment advisers registered under this chapter, and broker-dealers registered under this chapter.
2.
Institutional investors.
2m.
Accredited investors as defined and listed in 17 CFR 230.501 (a) (1), (2), (3), (7), or (8) under Regulation D under the Securities Act of 1933.
3.
Bona fide preexisting clients whose principal places of residence are not in this state.
4.
Other clients specified by rule adopted or order issued under this chapter.
(b)
A federal covered investment adviser without a place of business in this state if the person has had, during the preceding 12 months, not more than 5 clients that are resident in this state in addition to those specified under par. (a).
(c)
Any other person excluded by rule adopted or order issued under this chapter.
(3)
Notice filing procedure. A person acting as a federal covered investment adviser, not excluded under sub. (2), shall file a notice, a consent to service of process complying with s. 551.611, and such records as have been filed with the Securities and Exchange Commission under the Investment Advisers Act of 1940 required by rule adopted or order issued under this chapter and pay the fees specified in s. 551.614 (2).
(4)
Effectiveness of filing. The notice under sub. (3) becomes effective upon its filing and expires on December 31 unless any of the following occurs:
(a)
The notice filing is renewed.
(b)
The notice filing is limited or extended for not more than 6 months and the notice filer pays a fee, adjusted proportionately by the administrator by rule or order.
(c)
The administrator specifies a different expiration date by rule or order.
History:  2007 a. 196.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.407 - Succession and change in registration of broker-dealer or investment adviser.

551.407
Succession and change in registration of broker-dealer or investment adviser.
(1)
Succession. A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed to the current registration of an investment adviser or notice filing of another federal covered investment adviser, by filing as a successor an application for registration pursuant to s. 551.401 or 551.403 or a notice pursuant to s. 551.405 for the unexpired portion of the current registration or notice filing.
(2)
Organizational change. A broker-dealer or investment adviser that changes its form of organization or state of incorporation or organization may continue its registration by filing an amendment to its registration if the change does not involve a change in control. The amendment becomes effective when filed or on a date designated by the registrant in its filing. The new organization is a successor to the original registrant for the purposes of this chapter. If there is a change in control, the broker-dealer or investment adviser shall file a new application for registration. A predecessor registered under this chapter shall stop conducting its securities business other than winding down transactions and shall file for withdrawal of broker-dealer or investment adviser registration within 45 days after filing its amendment to effect succession.
(3)
Name change. A broker-dealer or investment adviser that changes its name may continue its registration by filing an amendment to its registration. The amendment becomes effective when filed or on a date designated by the registrant.
(4)
Change of control. A change of control of a broker-dealer or investment adviser may be made in accordance with a rule adopted or order issued under this chapter.
History:  2007 a. 196.
2023 Wisconsin Statutes & Annotations › Chapter 551 - Wisconsin uniform securities law. › 551.409 - Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.

551.409
Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.
Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective 60 days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this chapter unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this chapter. The administrator may institute a revocation or suspension proceeding under s. 551.412 within one year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending.
History:  2007 a. 196.