002-10 Wyo. Code R. §§ 10-2 - Investment Adviser Representative Registration
(a) Initial
registration. The application for initial registration as an investment adviser
representative pursuant to W.S. §
17-4-404(a) shall be made by
completing the Uniform Application for Securities Industry Registration or
Transfer, Form U4, 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 representative with the examination requirements of
Section 5; and
(ii) The fee
required by W.S. §
17-4-410(d).
(b) Annual Renewal. The
application for annual renewal registration as an investment adviser
representative shall be filed electronically with IARD and shall include the
fee required by W.S. §
17-4-410(d).
(c) Updates and amendments. The investment
adviser representative is under a continuing obligation to update information
required by Form U4 as changes occur.
(i) An
investment adviser representative and the investment adviser must
electronically file promptly with IARD any amendments to the representative's
Form U4; and
(ii) An amendment will
be considered to be filed promptly if the amendment is filed within thirty (30)
days of the event requiring an amendment.
(d) Completion of filing. An application for
initial or renewal registration is not considered filed for purposes of W.S.
§
17-4-404(a) until the
required fee and all required submissions have been received by the Secretary
of State.
(e) Withdrawal. The
application for withdrawal of registration as an investment adviser
representative pursuant to W.S. §
17-4-408(a) shall be
completed by following the instructions on Uniform Termination Notice for
Securities Industry Registration, Form U5, and by filing the form
electronically with IARD within 30 days of the date of termination.
Notes
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