Section 4.09. Denial, suspension, revocation and censure.

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(1) Any order denying, suspending or revoking the registration of a broker-dealer or agent or censuring a registrant may include such other sanctions as the division finds appropriate.

(2) For purposes of s. 551.412 (1) , Stats., the public interest or protection of investors does not require a showing of ongoing harm to summarily deny an application for a registration as a broker-dealer or agent.

History: Cr. Register, December, 1977, No. 264 , eff. 1-1-78; renum. (1) and am., r. (2), Register, December, 1981, No. 312 , eff. 1-1-82; CR 08-077 : renum. to be (1) and am., cr. (2) Register December 2008 No. 636 , eff. 1-1-09.

                    
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