reglab/housing_qa huggingface dataset:
WY Stat § 17-4-506 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 5 - Fraud and Liabilities|Section 17-4-506 - Misrepresentations Concerning Registration or Exemption.

17-4-506. Misrepresentations concerning registration or exemption.| (a) The filing of an application for registration, a registration statement, a notice filing under this act, the registration of a person, the notice filing by a person, or the registration of a security under this act does not constitute a finding by the secretary of state that a record filed under this act is true, complete, and not misleading. The filing or registration or the availability of an exemption, exception, preemption, or exclusion for a security or a transaction does not mean that the secretary of state has passed upon the merits or qualifications of, or recommended or given approval to, a person, security, or transaction.  (b) It is unlawful to make, or cause to be made, to a purchaser, customer, client, or prospective customer or client a representation inconsistent with this section.
WY Stat § 17-4-507 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 5 - Fraud and Liabilities|Section 17-4-507 - Qualified Immunity.

17-4-507. Qualified immunity.| A broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative is not liable to another broker-dealer, agent, investment adviser, federal covered investment adviser, or investment adviser representative for defamation relating to a statement that is contained in a record required by the secretary of state, or designee of the secretary of state, the securities and exchange commission, or a self-regulatory organization, unless the person knew, or should have known at the time that the statement was made, that it was false in a material respect or the person acted in reckless disregard of the statement's truth or falsity.
WY Stat § 17-4-508 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 5 - Fraud and Liabilities|Section 17-4-508 - Criminal Penalties.

17-4-508. Criminal penalties.| (a) A person that willfully violates this act, or a rule adopted or order issued under this act, except W.S. 17-4-504 or the notice filing requirements of W.S. 17-4-302 or 17-4-405, or that willfully violates W.S. 17-4-505 knowing the statement made to be false or misleading in a material respect, upon conviction, shall be fined not more than five thousand dollars ($5,000.00) or imprisoned not more than three (3) years, or both. An individual convicted of violating a rule or order under this act may be fined, but may not be imprisoned, if the individual did not have knowledge of the rule or order.  (b) The attorney general or district attorney with or without a reference from the secretary of state, may institute criminal proceedings under this act.  (c) This act does not limit the power of this state to punish a person for conduct that constitutes a crime under other laws of this state.
WY Stat § 17-4-601 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-601 - Administration.

17-4-601. Administration.| (a) The secretary of state shall administer this act.  (b) It is unlawful for the secretary of state or an officer, employee, or designee of the secretary of state to use for personal benefit or the benefit of others records or other information obtained by or filed with the secretary of state that are not public under W.S. 17-4-607(b). This act does not authorize the secretary of state or an officer, employee, or designee of the secretary of state to disclose the record or information, except in accordance with W.S. 17-4-602, 17-4-607(c), or 17-4-608.  (c) This act does not create or diminish a privilege or exemption that exists at common law, by statute or rule, or otherwise.  (d) The secretary of state may develop and implement investor education initiatives to inform the public about investing in securities, with particular emphasis on the prevention and detection of securities fraud. In developing and implementing these initiatives, the secretary of state may collaborate with public and nonprofit organizations with an interest in investor education. The secretary of state may accept a grant or donation from a person that is not affiliated with the securities industry or from a nonprofit organization, regardless of whether the organization is affiliated with the securities industry, to develop and implement investor education initiatives. This subsection does not authorize the secretary of state to require participation or monetary contributions of a registrant in an investor education program.
WY Stat § 17-4-603 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-603 - Civil Enforcement.

17-4-603. Civil enforcement.| (a) If the secretary of state believes that a person has engaged, is engaging, or is about to engage in an act, practice, or course of business constituting a violation of this act or a rule adopted or order issued under this act or that a person has, is, or is about to engage in an act, practice, or course of business that materially aids a violation of this act or a rule adopted or order issued under this act, the secretary of state may maintain an action in the Wyoming district court to enjoin the act, practice, or course of business and to enforce compliance with this act or a rule adopted or order issued under this act.  (b) In an action under this section and on a proper showing, the court may:  (i) Issue a permanent or temporary injunction, restraining order, or declaratory judgment;  (ii) Order other appropriate or ancillary relief, which may include:  (A) An asset freeze, accounting, writ of attachment, writ of general or specific execution, and appointment of a receiver or conservator, that may be the secretary of state, for the defendant or the defendant's assets;  (B) Ordering the secretary of state to take charge and control of a defendant's property, including investment accounts and accounts in a depository institution, rents, and profits; to collect debts; and to acquire and dispose of property;  (C) Imposing a civil penalty up to five thousand dollars ($5,000.00) for a single violation or up to fifty thousand dollars ($50,000.00) for more than one (1) violation; an order of rescission, restitution, or disgorgement directed to a person that has engaged in an act, practice, or course of business constituting a violation of this act or the predecessor act or a rule adopted or order issued under this act or the predecessor act; and  (D) Ordering the payment of prejudgment and post judgment interest.  (iii) Order such other relief as the court considers appropriate.  (c) The secretary of state may not be required to post a bond in an action or proceeding under this act.
WY Stat § 17-4-606 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-606 - Administrative Files and Opinions.

17-4-606. Administrative files and opinions.| (a) The secretary of state shall maintain, or designate a person to maintain, a register of applications for registration of securities; registration statements; notice filings; applications for registration of broker-dealers, agents, investment advisers, and investment adviser representatives; notice filings by federal covered investment advisers that are or have been effective under this act or the predecessor act; notices of claims of exemption from registration or notice filing requirements contained in a record; orders issued under this act or the predecessor act; and interpretative opinions or no action determinations issued under this act.  (b) The secretary of state shall make all rules, forms, interpretative opinions, and orders available to the public.  (c) The secretary of state shall control the availability and dissemination of records, including the records identified as public records in W.S. 17-4-607, pursuant to the requirements set forth in the Wyoming Public Records Act, W.S. 16-4-201 through 16-4-205.
WY Stat § 17-4-607 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-607 - Public Records; Confidentiality.

17-4-607. Public records; confidentiality.| (a) Except as otherwise provided in subsection (b) of this section, records obtained by the secretary of state or filed under this act, including a record contained in or filed with a registration statement, application, notice filing, or report, are public records and are available for public examination.  (b) The following records are not public records and are not available for public examination under subsection (a) of this section:  (i) A record obtained by the secretary of state in connection with an audit or inspection under W.S. 17-4-411(d) or an investigation under W.S. 17-4-602;  (ii) A part of a record filed in connection with a registration statement under W.S. 17-4-301 and 17-4-303 through 17-4-305 or a record under W.S. 17-4-411(d) that contains trade secrets or confidential information if the person filing the registration statement or report has asserted a claim of confidentiality or privilege that is authorized by law;  (iii) A record that is not required to be provided to the secretary of state or filed under this act and is provided to the secretary of state only on the condition that the record will not be subject to public examination or disclosure;  (iv) A nonpublic record received from a person specified in W.S. 17-4-608(a); and  (v) Any social security number, residential address unless used as a business address, and residential telephone number unless used as a business telephone number, contained in a record that is filed; and  (vi) A record obtained by the secretary of state through a designee of the secretary of state that a rule or order under this act determines has been:  (A) Expunged from the secretary of state's records by the designee; or  (B) Determined to be nonpublic or nondisclosable by that designee if the secretary of state finds the determination to be in the public interest and for the protection of investors.  (c) If disclosure is for the purpose of a civil, administrative, or criminal investigation, action, or proceeding or to a person specified in W.S. 17-4-608(a), the secretary of state may disclose a record obtained in connection with an audit or inspection under W.S. 17-4-411(d) or a record obtained in connection with an investigation under W.S. 17-4-602.
WY Stat § 17-4-608 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-608 - Uniformity and Cooperation With Other Agencies.

17-4-608. Uniformity and cooperation with other agencies.| (a) The secretary of state shall, in his discretion, cooperate, coordinate, consult, and, subject to W.S. 17-4-607, share records and information with the securities regulator of another state, Canada, a Canadian province or territory, a foreign jurisdiction, the securities and exchange commission, the United States department of justice, the commodity futures trading commission, the federal trade commission, the securities investor protection corporation, a self-regulatory organization, a national or international organization of securities regulators, a federal or state banking and insurance regulator, and a governmental law enforcement agency to effectuate greater uniformity in securities matters among the federal government, self-regulatory organizations, states, and foreign governments.  (b) In cooperating, coordinating, consulting, and sharing records and information under this section and in acting by rule, order, or waiver under this act, the secretary of state shall, in its discretion, take into consideration in carrying out the public interest the following general policies:  (i) Maximizing effectiveness of regulation for the protection of investors;  (ii) Maximizing uniformity in federal and state regulatory standards; and  (iii) Minimizing burdens on the business of capital formation, without adversely affecting essentials of investor protection.  (c) The cooperation, coordination, consultation, and sharing of records and information authorized by this section includes:  (i) Establishing or employing one (1) or more designees as a central depository for registration and notice filings under this act and for records required or allowed to be maintained under this act;  (ii) Developing and maintaining uniform forms;  (iii) Conducting a joint examination or investigation;  (iv) Holding a joint administrative hearing;  (v) Instituting and prosecuting a joint civil or administrative proceeding;  (vi) Sharing and exchanging personnel;  (vii) Coordinating registrations under W.S. 17-4-301 and 17-4-401 through 17-4-404 and exemptions under W.S. 17-4-204;  (viii) Sharing and exchanging records, subject to W.S. 17-4-607;  (ix) Formulating rules, statements of policy, guidelines, forms, and interpretative opinions and releases;  (x) Formulating common systems and procedures;  (xi) Notifying the public of proposed rules, forms, statements of policy, and guidelines;  (xii) Attending conferences and other meetings among securities regulators, which may include representatives of governmental and private sector organizations involved in capital formation, deemed necessary or appropriate to promote or achieve uniformity; and  (xiii) Developing and maintaining a uniform exemption from registration for small issuers, and taking other steps to reduce the burden of raising investment capital by small businesses.
WY Stat § 17-4-609 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-609 - Judicial Review.

17-4-609. Judicial review.| A final order issued by the secretary of state under this act is subject to judicial review in accordance with Wyoming Administrative Procedure Act.
WY Stat § 17-4-611 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-611 - Service of Process.

17-4-611. Service of process.| (a) A consent to service of process complying with W.S. 17-4-611 required by this act must be signed and filed in the form required by a rule or order under this act. A consent appointing the secretary of state the person's agent for service of process in a noncriminal action or proceeding against the person, or the person's successor or personal representative under this act or a rule adopted or order issued under this act after the consent is filed, has the same force and validity as if the service were made personally on the person filing the consent. A person that has filed a consent complying with this subsection in connection with a previous application for registration or notice filing need not file an additional consent.  (b) If a person, including a nonresident of this state, engages in an act, practice, or course of business prohibited or made actionable by this act or a rule adopted or order issued under this act and the person has not filed a consent to service of process under subsection (a) of this section, the act, practice, or course of business constitutes the appointment of the secretary of state as the person's agent for service of process in a noncriminal action or proceeding against the person or the person's successor or personal representative.  (c) Service under subsection (a) or (b) of this section may be made by providing a copy of the process to the office of the secretary of state, but it is not effective unless:  (i) The plaintiff, which may be the secretary of state, promptly sends notice of the service and a copy of the process, return receipt requested, to the defendant or respondent at the address set forth in the consent to service of process or, if a consent to service of process has not been filed, at the last known address, or takes other reasonable steps to give notice; and  (ii) The plaintiff files an affidavit of compliance with this subsection in the action or proceeding on or before the return day of the process, if any, or within the time that the court, or the secretary of state in a proceeding before the secretary of state, allows.  (d) Service pursuant to subsection (c) of this section may be used in a proceeding before the secretary of state or by the secretary of state in a civil action in which the secretary of state is the moving party.  (e) If process is served under subsection (c) of this section, the court, or the secretary of state in a proceeding before the secretary of state, shall order continuances as are necessary or appropriate to afford the defendant or respondent reasonable opportunity to defend.
WY Stat § 17-4-612 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-612 - Severability Clause.

17-4-612. Severability clause.| If any provision of this act or its application to any person or circumstances is held invalid, the invalidity does not affect other provisions or applications of this act that can be given effect without the invalid provision or application, and to this end the provisions of this act are severable.
WY Stat § 17-4-613 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 6 - Administration and Judicial Review|Section 17-4-613 - Securities Enforcement and Compliance Account; Purposes.

17-4-613. Securities enforcement and compliance account; purposes.| (a) There is created the securities enforcement and compliance account. Funds within the account shall only be expended by legislative appropriation. All funds within the account shall be invested by the state treasurer and all investment earnings from the account shall be credited to the general fund.  (b) The secretary of state shall credit sixty percent (60%) of all fees collected by the secretary of state under this act to the general fund and the balance to the securities enforcement and compliance account. Annually, on July 1, monies within the account in excess of three hundred fifty thousand dollars ($350,000.00) in the securities enforcement and compliance account shall be credited to the general fund.  (c) The secretary of state may expend money within the account created in subsection (a) of this section as appropriated by the legislature to investigate, prosecute and otherwise ensure compliance with this act and to promote investor awareness which may include investment and antifraud publications and seminars.  (d) The secretary of state shall develop separately identifiable biennial expenditure requests using a base budget, standard budget and exception budget as provided in W.S. 9-2-1002 through 9-2-1014 for the purposes specified in this section and from the account created in subsection (a) of this section.
WY Stat § 17-4-701 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 4 - Securities|Article 7 - Transition|Section 17-4-701 - Application of Act to Existing Proceeding and Existing Rights and Duties.

17-4-701. Application of act to existing proceeding and existing rights and duties.| (a) The predecessor act exclusively governs all actions or proceedings that are pending on the effective date of this act or may be instituted on the basis of conduct occurring before the effective date of this act, but a civil action may not be maintained to enforce any liability under the predecessor act unless instituted within any period of limitation that applied when the cause of action accrued or within five (5) years after the effective date of this act, whichever is earlier.  (b) All effective registrations under the predecessor act, all administrative orders relating to the registrations, rules, statements of policy, interpretative opinions, declaratory rulings, no action determinations, and conditions imposed on the registrations under the predecessor act remain in effect while they would have remained in effect if this act had not been enacted. They are considered to have been filed, issued, or imposed under this act, but are exclusively governed by the predecessor act.  (c) The predecessor act exclusively applies to an offer or sale made within one (1) year after the effective date of this act pursuant to an offering made in good faith before the effective date of this act on the basis of an exemption available under the predecessor act.
WY Stat § 17-7-301 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 7 - Charitable, Educational, Religious and Other Societies|Article 3 - Uniform Prudent Management of Institutional Funds Act|Section 17-7-301 - Short Title.

17-7-301. Short title.| This act shall be known and may be cited as the Uniform Prudent Management of Institutional Funds Act.
WY Stat § 17-7-302 (2021)
2021 Wyoming Statutes|Title 17 - Corporations, Partnerships and Associations|Chapter 7 - Charitable, Educational, Religious and Other Societies|Article 3 - Uniform Prudent Management of Institutional Funds Act|Section 17-7-302 - Definitions.

17-7-302. Definitions.| (a) As used in this act:  (i) "Charitable purpose" means the relief of poverty, the advancement of education or religion, the promotion of health, the promotion of a governmental purpose or any other purpose the achievement of which is beneficial to the community;  (ii) "Endowment fund" means an institutional fund or part thereof that, under the terms of a gift instrument, is not wholly expendable by the institution on a current basis. The term does not include assets that an institution designates as an endowment fund for its own use;  (iii) "Gift instrument" means a record or records, including an institutional solicitation, under which property is granted to, transferred to or held by an institution as an institutional fund;  (iv) "Institution" means:  (A) A person, other than an individual, organized and operated exclusively for charitable purposes;  (B) A government or governmental subdivision, agency or instrumentality to the extent that it holds funds exclusively for a charitable purpose; or  (C) A trust that had both charitable and noncharitable interests, after all noncharitable interests have been terminated.  (v) "Institutional fund" means a fund held by an institution exclusively for charitable purposes. The term does not include:  (A) Program-related assets;  (B) A fund held for an institution by a trustee that is not an institution; or  (C) A fund in which a beneficiary that is not an institution has an interest, other than an interest that could arise upon violation or failure of the purposes of the fund.  (vi) "Person" means as defined by W.S. 8-1-102;  (vii) "Program-related asset" means an asset held by an institution primarily to accomplish a charitable purpose of the institution and not primarily for investment;  (viii) "Record" means information that is inscribed on a tangible medium or that is stored in an electronic or other medium and is retrievable in perceivable form;  (ix) "This act" means W.S. 17-7-301 through 17-7-307.