reglab/housing_qa huggingface dataset:
WY Stat § 17-4-103 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 1 - General Provisions|Section 17-4-103 - References to Federal Statutes.

17-4-103. References to federal statutes.| As used in this act: "Securities Act of 1933" (15 U.S.C. § 77a et seq.), "Securities Exchange Act of 1934" (15 U.S.C. § 78a et seq.), "Public Utility Holding Company Act of 1935" (15 U.S.C. § 79 et seq.), "Investment Company Act of 1940" (15 U.S.C. § 80a-1 et seq.), "Investment Advisers Act of 1940" (15 U.S.C. § 80b-1 et seq.), "Employee Retirement Income Security Act of 1974" (29 U.S.C. § 1001 et seq.), "National Housing Act" (12 U.S.C. § 1701 et seq.), "Commodity Exchange Act" (7 U.S.C. § 1 et seq.), "Internal Revenue Code" (26 U.S.C. § 1 et seq.), "Securities Investor Protection Act of 1970" (15 U.S.C. § 78aaa et seq.), "Securities Litigation Uniform Standards Act of 1998" (112 Stat. 3227), "Small Business Investment Act of 1958" (15 U.S.C. § 661 et seq.), and "Electronic Signatures in Global and National Commerce Act" (15 U.S.C. § 7001 et seq.) mean those statutes and the rules and regulations adopted under those statutes, as in effect on the date of enactment of this act.
WY Stat § 17-4-104 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 1 - General Provisions|Section 17-4-104 - References to Federal Agencies.

17-4-104. References to federal agencies.| A reference in this act to an agency or department of the United States is also a reference to a successor agency or department.
WY Stat § 17-4-105 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 1 - General Provisions|Section 17-4-105 - Electronic Records and Signatures; Applicability.

17-4-105. Electronic records and signatures; applicability.| (a) This act modifies, limits, and supersedes the federal Electronic Signatures in Global and National Commerce Act, but does not modify, limit, or supersede section 101(c) of that act (15 U.S.C. § 7001(c)) or authorize electronic delivery of any of the notices described in section 103(b) of that act (15 U.S.C. § 7003(b)). This act authorizes the filing of records and signatures, when specified by provisions of this act or by a rule adopted or order issued under this act, in a manner consistent with section 104(a) of that act (15 U.S.C. § 7004(a)).  (b) The Financial Technology Sandbox Act shall apply to this act.
WY Stat § 17-4-204 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 2 - Exemptions From Registration of Securities|Section 17-4-204 - Additional Exemptions and Waivers.

17-4-204. Additional exemptions and waivers.| A rule adopted or order issued under this act may exempt a security, transaction, or offer; a rule under this act may exempt a class of securities, transactions, or offers from any or all of the requirements of W.S. 17-4-301 through 17-4-306 and 17-4-504; and an order under this act may waive, in whole or in part, any or all of the conditions for an exemption or offer under W.S. 17-4-201 through 17-4-203.
WY Stat § 17-4-205 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 2 - Exemptions From Registration of Securities|Section 17-4-205 - Denial, Suspension, Revocation, Condition, or Limitation of Exemptions.

17-4-205. Denial, suspension, revocation, condition, or limitation of exemptions.| (a) Except with respect to a federal covered security or a transaction involving a federal covered security, an order under this act may deny, suspend application of, condition, limit, or revoke an exemption created under W.S. 17-4-201(a)(iii)(C), (vii) or (viii), or 17-4-202 and 17-4-203, or an exemption or waiver created under W.S. 17-4-204 with respect to a specific security, transaction, or offer. An order under this section may be issued only pursuant to the procedures in W.S. 17-4-306(d) or 17-4-604 and only prospectively.  (b) A person does not violate W.S. 17-4-301, 17-4-303 through 17-4-306, 17-4-504, or 17-4-510 by an offer to sell, offer to purchase, sale, or purchase effected after the entry of an order issued under this section if the person did not know, and in the exercise of reasonable care could not have known, of the order.
WY Stat § 17-4-301 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 3 - Registration of Securities and Notice Filing of Federal Covered Securities|Section 17-4-301 - Securities Registration Requirement.

17-4-301. Securities registration requirement.| (a) It is unlawful for a person to offer or sell a security in this state unless:  (i) The security is a federal covered security;  (ii) The security, transaction, or offer is exempted from registration under W.S. 17-4-201 through 17-4-204; or  (iii) The security is registered under this act.
WY Stat § 17-4-307 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 3 - Registration of Securities and Notice Filing of Federal Covered Securities|Section 17-4-307 - Waiver and Modification.

17-4-307. Waiver and modification.| The secretary of state may waive or modify, in whole or in part, any or all of the requirements of W.S. 17-4-302, 17-4-303, and 17-4-304(b) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to W.S. 17-4-305(j).
WY Stat § 17-4-403 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers|Section 17-4-403 - Investment Adviser Registration Requirement.

17-4-403. Investment adviser registration requirement.| (a) It is unlawful for a person to transact business in this state as an investment adviser unless the person is registered under this act as an investment adviser or is exempt from registration as an investment adviser under subsection (b) of this section.  (b) The following persons are exempt from the registration requirement of subsection (a) of this section:  (i) A person without a place of business in this state that is registered under the securities act of the state in which the person has its principal place of business if its only clients in this state are:  (A) Federal covered investment advisers, investment advisers registered under this act, or broker-dealers registered under this act;  (B) Institutional investors;  (C) Bona fide preexisting clients whose principal places of residence are not in this state if the investment adviser is registered under the securities act of the state in which the clients maintain principal places of residence; or  (D) Any other client exempted by rule adopted or order issued under this act.  (ii) A person without a place of business in this state if the person has had, during the preceding twelve (12) months, not more than five (5) clients that are resident in this state in addition to those specified under paragraph (i) of this subsection; or  (iii) Any other person exempted by rule adopted or order issued under this act.  (c) It is unlawful for an investment adviser, directly or indirectly, to employ or associate with an individual to engage in an activity related to investment advice in this state if the registration of the individual is suspended or revoked or the individual is barred from employment or association with an investment adviser, federal covered investment adviser, or broker-dealer by an order under this act, the securities and exchange commission, or a self-regulatory organization, unless the investment adviser did not know, and in the exercise of reasonable care could not have known, of the suspension, revocation, or bar. Upon request from the investment adviser and for good cause, the secretary of state, by order, may waive, in whole or in part, the application of the prohibitions of this subsection to the investment adviser.  (d) It is unlawful for an investment adviser to employ or associate with an individual required to be registered under this act as an investment adviser representative who transacts business in this state on behalf of the investment adviser unless the individual is registered under W.S. 17-4-404(a) or is exempt from registration under W.S. 17-4-404(b).
WY Stat § 17-4-405 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers|Section 17-4-405 - Federal Covered Investment Adviser Notice Filing Requirement.

17-4-405. Federal covered investment adviser notice filing requirement.| (a) Except with respect to a federal covered investment adviser described in subsection (b) of this section, it is unlawful for a federal covered investment adviser to transact business in this state as a federal covered investment adviser unless the federal covered investment adviser complies with subsection (c) of this section.  (b) The following federal covered investment advisers are not required to comply with subsection (c) of this section:  (i) A federal covered investment adviser without a place of business in this state if its only clients in this state are:  (A) Federal covered investment advisers, investment advisers registered under this act, and broker-dealers registered under this act;  (B) Institutional investors;  (C) Bona fide preexisting clients whose principal places of residence are not in this state; or  (D) Other clients specified by rule adopted or order issued under this act.  (ii) A federal covered investment adviser without a place of business in this state if the person has had, during the preceding twelve (12) months, not more than five (5) clients that are resident in this state in addition to those specified under paragraph (i) of this subsection; and  (iii) Any other person excluded by rule adopted or order issued under this act.  (c) A person acting as a federal covered investment adviser, not excluded under subsection (b) of this section, shall file a notice, a consent to service of process complying with W.S. 17-4-611, and such records as have been filed with the securities and exchange commission under the Investment Advisers Act of 1940 required by rule adopted or order issued under this act and pay the fees specified in W.S. 17-4-410(e).  (d) The notice under subsection (c) of this section becomes effective upon its filing.
WY Stat § 17-4-406 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers|Section 17-4-406 - Registration by Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative.

17-4-406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative.| (a) A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service of process complying with W.S. 17-4-611, and paying the fee specified in W.S. 17-4-410 and any reasonable fees charged by the designee of the secretary of state for processing the filing. The application must contain:  (i) The information or record required for the filing of a uniform application; and  (ii) Upon request by the secretary of state, any other financial or other information or record that the secretary of state determines is appropriate.  (b) If the information or record contained in an application filed under subsection (a) of this section is or becomes inaccurate or incomplete in a material respect, the registrant shall promptly file a correcting amendment.  (c) If an order is not in effect and a proceeding is not pending under W.S. 17-4-412, registration becomes effective at noon on the forty-fifth day after a completed application is filed, unless the registration is denied. A rule adopted or order issued under this act may set an earlier effective date or may defer the effective date until noon on the forty-fifth day after the filing of any amendment completing the application.  (d) A registration is effective until midnight on December 31 of the year for which the application for registration is filed. Unless an order is in effect under W.S. 17-4-412, a registration may be automatically renewed each year by filing such records as are required by rule adopted or order issued under this act, by paying the fee specified in W.S. 17-4-410, and by paying costs charged by the designee of the secretary of state for processing the filings.  (e) A rule adopted or order issued under this act may impose such other conditions, not inconsistent with the National Securities Markets Improvement Act of 1996. An order issued under this act may waive, in whole or in part, specific requirements in connection with registration as are in the public interest and for the protection of investors.
WY Stat § 17-4-407 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers|Section 17-4-407 - Succession and Change in Registration of Broker-Dealer or Investment Adviser.

17-4-407. Succession and change in registration of broker-dealer or investment adviser.| (a) A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal covered investment adviser may succeed to the current registration of an investment adviser or notice filing of another federal covered investment adviser, by filing as a successor an application for registration pursuant to W.S. 17-4-401 or 17-4-403 or a notice pursuant to W.S. 17-4-405 for the unexpired portion of the current registration or notice filing.  (b) A broker-dealer or investment adviser that changes its form of organization or state of incorporation or organization may continue its registration by filing an amendment to its registration if the change does not involve a material change in its financial condition or management. The amendment becomes effective when filed or on a date designated by the registrant in its filing. The new organization is a successor to the original registrant for the purposes of this act. If there is a material change in financial condition or management, the broker-dealer or investment adviser shall file a new application for registration. A predecessor registered under this act shall stop conducting its securities business other than winding down transactions and shall file for withdrawal of broker-dealer or investment adviser registration within forty-five (45) days after filing its amendment to effect succession.  (c) A broker-dealer or investment adviser that changes its name may continue its registration by filing an amendment to its registration. The amendment becomes effective when filed or on a date designated by the registrant.  (d) A change of control of a broker-dealer or investment adviser may be made in accordance with a rule adopted or order issued under this act.
WY Stat § 17-4-409 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers|Section 17-4-409 - Withdrawal of Registration of Broker-Dealer, Agent, Investment Adviser, and Investment Adviser Representative.

17-4-409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative.| Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective sixty (60) days after the filing of the application to withdraw or within any shorter period as provided by rule adopted or order issued under this act unless a revocation or suspension proceeding is pending when the application is filed. If a proceeding is pending, withdrawal becomes effective when and upon such conditions as required by rule adopted or order issued under this act. The secretary of state may institute a revocation or suspension proceeding under W.S. 17-4-412 within one (1) year after the withdrawal became effective automatically and issue a revocation or suspension order as of the last date on which registration was effective if a proceeding is not pending.
WY Stat § 17-4-410 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 4 - Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers|Section 17-4-410 - Filing Fees.

17-4-410. Filing fees.| (a) A person shall pay a fee of two hundred fifty dollars ($250.00) when initially filing an application for registration as a broker-dealer and a fee of two hundred fifty dollars ($250.00) when filing a renewal of registration as a broker-dealer. If the filing results in a denial or withdrawal, the secretary of state shall retain the entire fee.  (b) The fee for an individual is forty-five dollars ($45.00) when filing an application for registration as an agent, a fee of forty-five dollars ($45.00) when filing a renewal of registration as an agent, and a fee of forty-five dollars ($45.00) when filing for a change of registration as an agent. If the filing results in a denial or withdrawal, the secretary of state shall retain the entire fee.  (c) A person shall pay a fee of two hundred fifty dollars ($250.00) when filing an application for registration as an investment adviser and a fee of two hundred fifty dollars ($250.00) when filing a renewal of registration as an investment adviser. If the filing results in a denial or withdrawal, the secretary of state shall retain the entire fee.  (d) The fee for an individual is forty-five dollars ($45.00) when filing an application for registration as an investment adviser representative, a fee of forty-five dollars ($45.00) when filing a renewal of registration as an investment adviser representative, and a fee of forty-five dollars ($45.00) when filing a change of registration as an investment adviser representative. If the filing results in a denial or withdrawal, the secretary of state shall retain the entire fee.  (e) A federal covered investment adviser required to file a notice under W.S. 17-4-405 shall pay an initial fee of two hundred fifty dollars ($250.00) and an annual notice fee of two hundred fifty dollars ($250.00).  (f) A person required to pay a filing or notice fee under this section may transmit the fee through or to a designee as a rule or order provides under this act.  (g) An investment adviser representative who is registered as an agent under W.S. 17-4-402 and who represents a person that is both registered as a broker-dealer under W.S. 17-4-401 and registered as an investment adviser under W.S. 17-4-403 or required as a federal covered investment adviser to make a notice filing under W.S. 17-4-405 is not required to pay an initial or annual registration fee for registration as an investment adviser representative.
WY Stat § 17-4-501 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 5 - Fraud and Liabilities|Section 17-4-501 - General Fraud.

17-4-501. General fraud.| (a) It is unlawful for a person, in connection with the offer, sale, or purchase of a security, directly or indirectly:  (i) To employ a device, scheme, or artifice to defraud;  (ii) To make an untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or  (iii) To engage in an act, practice, or course of business that operates or would operate as a fraud or deceit upon another person.
WY Stat § 17-4-502 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 5 - Fraud and Liabilities|Section 17-4-502 - Prohibited Conduct in Providing Investment Advice.

17-4-502. Prohibited conduct in providing investment advice.| (a) It is unlawful for a person that advises others for compensation, either directly or indirectly or through publications or writings, as to the value of securities or the advisability of investing in, purchasing, or selling securities or that, for compensation and as part of a regular business, issues or promulgates analyses or reports relating to securities:  (i) To employ a device, scheme, or artifice to defraud another person; or  (ii) To engage in an act, practice, or course of business that operates or would operate as a fraud or deceit upon another person.  (b) A rule adopted under this act may define an act, practice, or course of business of an investment adviser or an investment adviser representative, other than a supervised person of a federal covered investment adviser, as fraudulent, deceptive, or manipulative, and prescribe means reasonably designed to prevent investment advisers and investment adviser representatives, other than supervised persons of a federal covered investment adviser, from engaging in acts, practices, and courses of business defined as fraudulent, deceptive, or manipulative.  (c) A rule adopted under this act may specify the contents of an investment advisory contract entered into, extended, or renewed by an investment adviser.
WY Stat § 17-4-503 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 5 - Fraud and Liabilities|Section 17-4-503 - Evidentiary Burden.

17-4-503. Evidentiary burden.| (a) In a civil action or administrative proceeding under this act, a person claiming an exemption, exception, preemption, or exclusion has the burden to prove the applicability of the claim.  (b) In a criminal proceeding under this act, a person claiming an exemption, exception, preemption, or exclusion has the burden of going forward with evidence of the claim.
WY Stat § 17-4-504 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 5 - Fraud and Liabilities|Section 17-4-504 - Filing of Sales and Advertising Literature.

17-4-504. Filing of sales and advertising literature.| (a) Except as otherwise provided in subsection (b) of this section, a rule adopted or order issued under this act may require the filing of a prospectus, pamphlet, circular, form letter, advertisement, sales literature, or other advertising record relating to a security or investment advice, addressed or intended for distribution to prospective investors, including clients or prospective clients of a person registered or required to be registered as an investment adviser under this act.  (b) This section does not apply to sales and advertising literature specified in subsection (a) of this section which relates to a federal covered security, a federal covered investment adviser, or a security or transaction exempted by W.S. 17-4-201 through 17-4-204 except as required pursuant to W.S. 17-4-201(a)(vii).
WY Stat § 17-4-505 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 5 - Fraud and Liabilities|Section 17-4-505 - Misleading Filings.

17-4-505. Misleading filings.| It is unlawful for a person to make or cause to be made, in a record that is used in an action or proceeding or filed under this act, a statement that, at the time and in the light of the circumstances under which it is made, is false or misleading in a material respect, or, in connection with the statement, to omit to state a material fact necessary to make the statement made, in the light of the circumstances under which it was made, not false or misleading.