Article

BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS

Wyo. Stat. Ann. § 17-4-401— Broker-dealers registration requirement and exemptions
Wyo. Stat. Ann. § 17-4-402— Agent registration requirement and exemptions
Wyo. Stat. Ann. § 17-4-403— Investment adviser registration requirement
Wyo. Stat. Ann. § 17-4-404— Investment adviser representative registration requirement and exemptions
Wyo. Stat. Ann. § 17-4-405— Federal covered investment adviser notice filing requirement
Wyo. Stat. Ann. § 17-4-406— Registration by broker-dealer, agent, investment adviser, and investment adviser representative
Wyo. Stat. Ann. § 17-4-407— Succession and change in registration of broker-dealer or investment adviser
Wyo. Stat. Ann. § 17-4-408— Termination of employment or association of agent and investment adviser representative and transfer of employment or association
Wyo. Stat. Ann. § 17-4-409— Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
Wyo. Stat. Ann. § 17-4-410— Filing fees
Wyo. Stat. Ann. § 17-4-411— Post registration requirements
Wyo. Stat. Ann. § 17-4-412— Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration