Wis. Admin. Code Department of Financial Institutions DFI-Sec 5.09 - Denial, suspension, revocation and censure

(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.

Notes

Wis. Admin. Code Department of Financial Institutions DFI-Sec 5.09

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.