![]() |
Wisconsin Administrative Code (Last Updated: January 10, 2017) |
![]() |
Agency DFI. Department of Financial Institutions |
![]() |
Chapters DFI-Sec1-36. Department of Financial Institutions-Securities |
![]() |
Chapter DFI-Sec5. Registration And Notice Filing Procedures For Investment Advisers, Federal Covered Investment Advisers, And Investment Adviser Representatives |
Section 5.09. Denial, suspension, revocation and censure.
Latest version.
- (1) Any order denying, suspending or revoking the registration of an investment adviser or an investment adviser representative 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 an investment adviser or investment adviser representative.
Cr.
Register, December, 1977, No. 264
, eff. 1-1-78; am.
Register, December, 1998, No. 516
, eff. 1-1-99;
CR 08-077
: renum. to be (1) and am., cr. (2)
Register December 2008 No. 636
, eff. 1-1-09.