002-5 Wyo. Code R. § 5-4
Current through April 27, 2019
(a) When an agent ends its affiliation with a broker-dealer, the broker-dealer shall file the Uniform Termination Notice for Securities Industry Registration, Form U-5, with CRD. A broker-dealer shall file the U-5 of any agent within 30 days unless a longer period of time is approved by the Secretary of State.
(b) Agents of an issuer may end their registration by submitting a letter to the Secretary of State indicating their desire to terminate their registration.
(c) Issuers may end an agent's registration by submitting a letter to the Secretary of State indicating their desire to terminate the agent's registration.
002-5 Wyo. Code R. § 5-4
Amended, Eff. 10/27/2017.