002-4 Wyo. Code R. §§ 4-3 - General Broker-Dealer Requirements
(a) Compliance with
all current SEC regulations is a condition of registration as a broker-dealer
in Wyoming.
(b) Upon request
broker-dealers may be required to provide the Secretary of State any notices,
computations, and reports required for submission to the SEC or an
SRO.
(c) Broker-dealers shall make,
maintain and preserve books and records in compliance with SEC Rules and make
them available for inspection to the Secretary of State upon request.
(d) Following initial registration approval,
broker-dealers shall file amendments to Form BD with the CRD system whenever
the information on file with the CRD becomes inaccurate, but not later than 30
days following any material change.
(e) Shall remain in good standing with the
SEC and the appropriate SRO. The Secretary of State may summarily suspend any
broker-dealer registration if that broker-dealer is not registered in good
standing with the SEC and the appropriate SRO.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.