002-11 Wyo. Code R. §§ 11-5 - Record requirements

In addition to the comprehensive records which persons selling innovative financial products or services must keep under W.S. 40-29-106(d), those persons must further maintain:

(a) All consumer contact information, including the information required in Section 3 of these rules;

(b) All agreements, contracts and subscription records;

(c) All correspondence between the person selling the innovative financial product or service and the consumer;

(d) All financial statements and bank account records; and

(e) A copy of all advertisements the person selling the innovative financial product or service has used to market their product or service in Wyoming.

Notes

002-11 Wyo. Code R. §§ 11-5

Adopted, Eff. 1/28/2020.