002-10 Wyo. Code R. § 10-2

Current through April 27, 2019

Section 10-2 - Investment Adviser Representative Registration

(a) Initial registration. The application for initial registration as an investment adviser representative pursuant to W.S. § 17-4-404(a) shall be made by completing the Uniform Application for Securities Industry Registration or Transfer, Form U4, in accordance with the form instructions and by filing the form electronically with IARD. The application for initial registration shall include the following:

(i) Proof of compliance by the investment adviser representative with the examination requirements of Section 5;

(ii) The fee required by W.S. § 17-4-410(d).

(b) Annual Renewal. The application for annual renewal registration as an investment adviser representative shall be filed electronically with IARD and shall include the fee required by W.S. § 17-4-410(d).

(c) Updates and amendments. The investment adviser representative is under a continuing obligation to update information required by Form U4 as changes occur.

(i) An investment adviser representative and the investment adviser must electronically file promptly with IARD any amendments to the representative's Form U4; and

(ii) An amendment will be considered to be filed promptly if the amendment is filed within thirty (30) days of the event requiring an amendment.

(d) Completion of filing. An application for initial or renewal registration is not considered filed for purposes of W.S. § 17-4-404(a) until the required fee and all required submissions have been received by the Secretary of State.

(e) Withdrawal. The application for withdrawal of registration as an investment adviser representative pursuant to W.S. § 17-4-408(a) shall be completed by following the instructions on Uniform Termination Notice for Securities Industry Registration, Form U5, and by filing the form electronically with IARD within 30 days of the date of termination.

002-10 Wyo. Code R. § 10-2

Adopted, Eff. 10/27/2017.