Statutes, codes, and regulations
Wyoming Administrative Code
Agency 002 - Secretary of StateSubagency 0017 - Securities
Chapter 2 - DEFINITIONS
Section 2-7 - Mass Transfer

002-2 Wyo. Code R. § 2-7

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Current through April 27, 2019
Section 2-7 - Mass Transfer

Mass transfer means transfer of a broker-dealer's agents from one entity to another due to broker-dealer registration termination; broker-dealer name change or reorganization; broker-dealer acquisition, merger or succession. Mass transfer is effected through the CRD without filing individual forms U-4 or U-5.

002-2 Wyo. Code R. § 2-7

Amended, Eff. 10/27/2017.