Section DFI-Sec 4.09 - Denial, suspension, revocation and censure(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.Wis. Admin. Code Department of Financial Institutions DFI-Sec 4.09
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.