002-10 Wyo. Code R. § 10-3

Current through April 27, 2019

Section 10-3 - Notice Filing Requirements for Federal Covered Investment Advisers

(a) The notice filing for a federal covered investment adviser pursuant to W.S. § 17-4-405(a) shall be filed electronically with IARD on an executed Form ADV. A notice filing of a federal covered investment adviser shall be considered filed when the fee required by W.S. § 17-4-410(e) and the Form ADV are filed electronically with and accepted by IARD on behalf of the state.

• (i) FORM ADV PART II. The Secretary of State may:
  • (A) Accept a copy of Part II of Form ADV as filed electronically with IARD; or
  • (B) Consider Part II of Form ADV filed if a federal covered investment adviser provides, within 5 days of a request, Part II of Form ADV to the Secretary of State. The Secretary of State considers Part II of Form ADV to be filed, therefore, a federal covered investment adviser is not required to submit Part II of Form ADV to the Secretary of State unless requested.

(b) Renewal. The annual renewal of the notice filing for a federal covered investment adviser pursuant to W.S. § 17-4-405(c) shall be filed electronically with IARD. The renewal of the notice filing for a federal covered investment adviser shall be considered filed when the fee required by W.S. § 17-4-410(e) is filed with and accepted by IARD on behalf of the state.

(c) Updates and amendments. A federal covered investment adviser must file electronically with IARD, in accordance with the instructions in Form ADV, any amendments to the federal covered investment adviser's Form ADV.

002-10 Wyo. Code R. § 10-3

Adopted, Eff. 10/27/2017.