Statutes, codes, and regulations
Wyoming Administrative Code
Agency 002 - Secretary of StateSubagency 0017 - Securities
Chapter 10 - INVESTMENT ADVISER REGULATIONS
Section 10-1 - Investment Adviser Registration

002-10 Wyo. Code R. § 10-1

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Current through April 27, 2019
Section 10-1 - Investment Adviser Registration

(a) Initial Registration. The application for initial registration as an investment adviser pursuant to W.S. § 17-4-403(a) shall be made by completing the Uniform Application for Investment Adviser Registration, Form ADV, 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 with the examination requirements of Section 5 of this chapter;
  • (ii) Financial statements as set forth in Section 7 of this chapter, including a copy of the balance sheet for the last fiscal year, and if the balance sheet is older than 45 days from the date of filing of the application, an unaudited balance sheet prepared as set forth in Section 7;
  • (iii) A copy of the surety bond required by Section 10, if applicable;
  • (iv) The fee required by W.S. § 17-4-410(c), and;
  • (v) Any other information the Secretary of State may reasonably require.

(b) FORM ADV PART II. The Secretary of State may accept:

  • (i) A copy of Part II of Form ADV filed electronically with IARD; or
  • (ii) A paper copy of Part II of Form ADV filed directly with the Secretary of State.

(c) Annual renewal. The application for annual renewal registration as an investment adviser shall be filed electronically with IARD. The application for annual renewal registration shall include the following:

  • (i) The fee required by W.S. § 17-4-410(c), and;
  • (ii) A copy of the surety bond required by Section 10, if applicable.

(d) Updates and amendments. An investment adviser must file electronically with IARD, in accordance with the instructions in the Form ADV, any amendments to the investment adviser's Form ADV;

  • (i) An amendment will be considered to be filed promptly if the amendment is filed within thirty (30) days of the event requiring an amendment; and
  • (ii) Within ninety (90) days of the end of the investment adviser's fiscal year, an investment adviser must file electronically with IARD an Annual Updating Amendment to the Form ADV.

(e) Completion of filing. An application for initial or renewal registration is not considered filed for purposes of W.S. § 17-4-403(a) until the required fee and all required submissions have been received by the Secretary of State.

(f) Withdrawal. The application for withdrawal of registration as an investment adviser pursuant to W.S. § 17-4-409 shall be completed by following the instructions on the Notice of Withdrawal from Registration as Investment Adviser, Form ADV-W, and by filing the form electronically with IARD.

002-10 Wyo. Code R. § 10-1

Adopted, Eff. 10/27/2017.