002-4 Wyo. Code R. § 4-3
(a) Compliance with all current SEC regulations is a condition of registration as a broker-dealer in Wyoming.
(b) Upon request broker-dealers may be required to provide the Secretary of State any notices, computations, and reports required for submission to the SEC or an SRO.
(c) Broker-dealers shall make, maintain and preserve books and records in compliance with SEC Rules and make them available for inspection to the Secretary of State upon request.
(d) Following initial registration approval, broker-dealers shall file amendments to Form BD with the CRD system whenever the information on file with the CRD becomes inaccurate, but not later than 30 days following any material change.
(e) Shall remain in good standing with the SEC and the appropriate SRO. The Secretary of State may summarily suspend any broker-dealer registration if that broker-dealer is not registered in good standing with the SEC and the appropriate SRO.
002-4 Wyo. Code R. § 4-3
Amended, Eff. 10/27/2017.