002-5 Wyo. Code R. § 5-2

Current through April 27, 2019
Section 5-2 - Agent of an Issuer

(a) If registering as an agent representing an issuer, complete the appropriate portions of Form U-4. Sections of the Form U-4 solely applicable to registration as an agent for a broker-dealer may be left blank. Submit the application to the Secretary of State along with the fee as prescribed in W.S. § 17-4-410(b).

(b) Take and achieve a passing score on the Uniform Securities Agent State Law Examination (USASLE, Series 63) or the Uniform Combined State Law Exam (Series 66) consistent with the provisions in Chapter 5, Section 1(c) above.

(c) The Secretary of State may make an agent of an issuer registration effective during the period an issuer's securities are being sold pursuant to an effective registration statement or being sold pursuant to certain pertinent securities exemptions. The agents of an issuer cease to be registered as securities agents when:

  • (i) the issuer's registration statement ceases to be effectively registered; or
  • (ii) the exempt offering is complete.

002-5 Wyo. Code R. § 5-2

Amended, Eff. 10/27/2017.