002-2 Wyo. Code R. § 2-24

Current through April 27, 2019

Section 2-24 - Temporary Agent Transfer (TAT)

Temporary Agent Transfer refers to the NASAA Statement of Policy on Temporary Agent Transfer. TAT allows securities agents conditional registration approval without lapse of registration when transferring from one firm to another. Registration is conditioned upon receipt of a non-deficient Form U-4 and timely filed Form U-5 for agents showing no disciplinary history.

002-2 Wyo. Code R. § 2-24