002-10 Wyo. Code R. §§ 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.
Notes
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