reglab/statecodes huggingface dataset:
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0012 - Notary Rules › Chapter 6 - NOTARIAL ACTS › Section 6-2 - Identification Credential

Current through July 13, 2024
For the purpose of evidencing a person's identity for
				  satisfactory evidence, the identification credential shall comply with W.S.
				  § 32-3-102(a)(xiv) and shall contain a photograph of the principal or the
				  credible witness(es).
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0012 - Notary Rules › Chapter 6 - NOTARIAL ACTS › Section 6-3 - Notary Journal

Current through July 13, 2024
(a) Upon
				discovering that the notary public's journal is lost or stolen under W.S.
				§ 32-3-118(j), the notary public shall promptly notify the Secretary of
				State by sending an email to notaries@wyo.gov. If a notary public does not have
				access to email, they shall send a letter to the Compliance Division of the
				Wyoming Secretary of State at 122 West 25th Street,
				Suite 100, Cheyenne, WY, 82002-0020.
(b) Nothing in these statutes or rules shall
				prevent a person, as defined in W.S. § 32-3-102(a)(xxiv), from
				implementing additional retention and journal content requirements.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0012 - Notary Rules › Chapter 6 - NOTARIAL ACTS › Section 6-4 - Remote Notarizations

Current through July 13, 2024
(a) For all remote
				notarizations, the notarial certificate shall include the name of the
				electronic notarization system or other form of communication technology used
				to perform the notarial act.
(b)
				Nothing in these statutes or rules shall prevent a person, as defined in W.S.
				§ 32-3-102(a)(xxiv), from requiring a specific electronic notarization
				system rather than another form of communication technology.
(c) Nothing in these statutes or rules shall
				prevent a person, as defined in W.S. § 32-3-102(a)(xxiv), from
				implementing additional retention requirements for the audio/visual recording
				of the notarial act.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0012 - Notary Rules › Chapter 6 - NOTARIAL ACTS › Section 6-5 - Education Requirements

Current through July 13, 2024
A notary public shall review the Notary Education
				  Presentation that is located on the Wyoming Secretary of State's website at
https://sos.wyo.gov/Services/Notaries.aspx
for every term. They shall certify that the presentation has been completed on
				  their application.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0012 - Notary Rules › Chapter 6 - NOTARIAL ACTS › Section 6-6 - Travel fees

Current through July 13, 2024
(a) Pursuant to
				W.S. § 32-3-126(d)(iii), a notary does not have to refund travel fees that
				were paid prior to performing a notarial act in the following circumstances:
(i) Any reason that gives the notarial
				officer the authority to refuse to perform a notarial act under W.S. §
				32-3-112; or
(ii) If the principal
				cancels the notarial act with less than a 24-hour notice.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 1 - GENERAL PROVISIONS › Section 1-1 - Authority

Current through July 13, 2024
The Secretary of State, pursuant to
				  W.S.
				  17-19-122 and W.S. W.S.
				  W.S.
				  17-19-130, is authorized to promulgate rules
				  and regulations to implement the Wyoming Nonprofit Corporation Act and to set
				  the filing fees under the Act.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 1 - GENERAL PROVISIONS › Section 1-3 - Definitions

Current through July 13, 2024
(a) "Authorized" is defined as being
				officially registered with the Secretary of State.
(b) "Deceptively Similar" means a proposed
				business name, trademark or service mark which is similar in appearance to,
				similar in sound to, or most pertinent words are the same as, an authorized
				trademark or service mark.
(c)
				"Distinguishable upon the records" is defined in
				W.S.
				17-16-401(f).
(d) "Duplicating charges" are set in W.S.
				W.S. W.S.
				9-1-305 and all duplicating charges which are
				left to the discretion of the Secretary of State are, by these rules, set at
				that same rate. Charges for electronic data are established by the Secretary of
				State based on the type of electronic transfer requested.
(e) "Five days" means five (5) business
				days.
(f) "Written Notice" means
				delivery by standard United States mail unless otherwise noted in the statute
				or rules. The Secretary of State may send notice by a more expedited or secure
				method such as priority mail, certified mail or express delivery
				service.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 2 - CORPORATION NAME › Section 2-1 - Corporate Name

Current through July 13, 2024
(a) A proposed
				corporate name shall not be the same as or deceptively similar to the name of
				any trademark or service mark registered in this state and shall be
				distinguishable upon the records of the Secretary of State from other business
				names as provided in
				W.S.
				17-16-401 and as determined by the Secretary
				of State.
(b) The use of
				corporation names shall be restricted in the following manner:
(i) No person or entity shall incorporate
				under a name using any of the terms "bank," "banker," "bancorp,"
				"bancorporation," "banc," "banque," "banquers," "banco," "banca," or words of
				similar import, whether in English or a foreign language, until they have fully
				complied with W.S. 1977
				
											13-1-101 et seq., the banking laws of a
				United States jurisdiction, the Federal Bank Holding Act of 1956 (12 use 1841),
				or the federal Homeowners Loan Act (
				12
				U.S.C. 1461 et. seq.). If good reason is
				shown for the use of the words "bancorp" or "bancorporation," the Secretary of
				State may at her discretion allow the use of the word(s), e.g., subsidiaries
				using parent company's name and parent company is regulated. If a proposed
				corporate name uses any of the terms outlined in this subparagraph in a way
				which is clearly not related to banking, the trust business or any other
				financial endeavor, this subparagraph does not apply. (For example, "Wyoming
				Blood Bank".)
(ii) The Secretary of
				State shall not register a corporate name including the term "trust" until
				notifying the Department of Audit and receiving written confirmation that the
				corporation is a financial institution and has complied with Title 13 of the
				Wyoming Statutes. Corporations that are not financial institutions as defined
				by W.S. W.S.
				W.S.
				13-1-101(a)(ix) will be
				permitted to use the word "trust," or "trust company" in their name only if the
				Secretary of State determines that the words are being used in a way which is
				clearly not related to banking, the trust business or any other financial
				endeavor.
(iii) The Secretary of
				State shall not register a corporate name which implies it is a degree granting
				institution of higher learning until verifying that it is licensed by the
				Department of Education. If the Department of Education requires licensing and
				the corporation is not licensed, then the Secretary of State shall refuse to
				file the documents until licensing is completed. This rule does not apply to
				institutions of higher learning which are exempt from licensing under the
				Department of Education's statutes or rules or to non-educational entities such
				as "University Bookstore, Inc."
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 2 - CORPORATION NAME › Section 2-2 - Procedure if Filing is Rejected

Current through July 13, 2024
(a) If a filing
				officer rejects a proposed business name or an application for reservation of a
				business name because it is the same as, or deceptively similar to, any
				trademark or service mark currenty authorized or not distinguishable upon the
				records of the Secretary of State from another business name currenty
				authorized, the filing officer shall notify the applicant within five days
				after the filing is delivered, that the filing is rejected with a brief,
				written explanation of the reason.
(b) Within five days of delivery of notice of
				rejection, the applicant may appeal the decision to the Secretary of State.
				Such a request must be in writing and should include information as to why the
				appeal should be granted. Within five days after delivery of the appeal
				request, the Secretary of State shall notify the business entity which holds
				the currenty authorized name that an appeal has been filed. The authorized
				business entity shall be notified that it may present information as to why the
				appeal should/should not be granted. If the authorized business entity chooses
				to provide information, he shall do so within five days of delivery of notice
				of the appeal request.
(c) Within
				five days after all information is to be submitted, the Secretary of State
				shall issue a final decision regarding the appeal. All parties shall be
				notified of the decision by certified letter.
(d) This procedure shall be informal and
				shall not be a contested case proceeding. Any final decision may be appealed to
				the appropriate District Court pursuant to the Wyoming Administrative Procedure
				Act. If the procedure in this Section is invoked, the thirty day appeal time
				provided in
				W.S.
				16-3-114 and Rule 12.04 of the Wyoming Rules
				of Appellate Procedure, does not begin to run until the Secretary of State
				issues a final decision letter as described in paragraph (c) above.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 3 - FOREIGN CORPORATION › Section 3-1 - Corporate Name of Foreign Corporation

Current through July 13, 2024
W.S. 17-19-1506. Chapter 2,
				  Sections
				  1
				  through
				  2 apply
				  to a foreign corporate name and a fictitious name.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 3 - FOREIGN CORPORATION › Section 3-2 - Procedure for Revocation

Current through July 13, 2024
At least annually the Secretary of State may publish in a
				  newspaper in the county in which the registered office of the corporation is
				  located notices of revocations of foreign corporations which have failed to
				  comply with
				  W.S.
				  17-19-1630.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 3 - FOREIGN CORPORATION › Section 3-3 - Merger of Foreign Corporation

Current through July 13, 2024
Whenever a foreign corporation authorized to transact
				  business in this state shall be a party to a statutory merger permitted by the
				  laws of the state or country of incorporation, it shall within thirty (30) days
				  after a merger becomes effective, file with the Secretary of State a
				  certificate of evidence current dated within sixty (60) days prior to filing in
				  this office.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 4 - DISSOLUTION › Section 4-1 - Revocation of Dissolution

Current through July 13, 2024
The Secretary of State shall file Articles of Revocation of
				  Dissolution pursuant to
				  W.S.
				  17-19-1405 unless the corporations name
				  becomes unavailable during the statutorily allotted time of 120 days. If the
				  name is unavailable, the Secretary of State shall give written notice to the
				  dissolved corporation of the rejection of the filing and the avenues available
				  to the corporation as set forth in Chapter 2 Sections
				  1
				  through
				  2.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 4 - DISSOLUTION › Section 4-2 - Procedure for Administrative Dissolution

Current through July 13, 2024
At least annually, the Secretary of State may publish in a
				  newspaper in the county in which the registered office of the corporation is
				  located notices of dissolutions of corporations which nave failed to comply
				  with W.S.
				  17-19-1630.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 5 - DOMESTICATION OF A FOREIGN CORPORATION › Section 5-1 - General Provisions

Current through July 13, 2024
(a) The applicant
				shall provide a certified copy of the original articles of incorporation and
				all amendments currently certified within six months by the proper officer of
				the state of incorporation.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0013 - NonProfit Corporation Act › Chapter 6 - CONTINUANCE OF FOREIGN CORPORATION › Section 6-1 - General Provisions

Current through July 13, 2024
(a) The applicant
				shall provide a document from an official of the foreign jurisdiction
				acknowledging termination of the domicile.
(b) The applicant shall provide a copy of the
				corporate resolution authorizing continuance of the corporation in
				Wyoming.
(c) The applicant shall
				provide a copy of the original Articles of Incorporation and all amendments
				currently certified with the last six (6) months by the proper officer of the
				state or nation of incorporation.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0014 - Processing Cooperative Act › Chapter 1 - GENERAL PROVISIONS › Section 1-3 - Definitions

Current through July 13, 2024
"Distinguishable upon the records" is defined in W.
				  S.
										17-16-401(f).
"Foreign Cooperative" means a cooperative organized under a
				  law other than the law of this state.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0014 - Processing Cooperative Act › Chapter 1 - GENERAL PROVISIONS › Section 1-5 - Filing Requirements

Current through July 13, 2024
Documents shall be in the English language.
(b) Domestic and foreign cooperatives shall
				be in good standing before amendments, dissolutions and withdrawals can be
				filed by the Secretary of State.
(c) The Secretary of State may revoke the
				filing of a document if the fee for the document was paid by an instrument or
				credit card payment that was dishonored when presented by the state for payment
				and the corporation fails to pay the fee, plus any additional processing charge
				authorized by law within ten (10) days of notice.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0014 - Processing Cooperative Act › Chapter 1 - GENERAL PROVISIONS › Section 1-6 - Filing Fees

Current through July 13, 2024
(a) Articles of
				Organization and Certificate of Authority $100.00
(b) Certificate of Existence or Evidence $
				10.00
(c) Reinstatement fee
				pursuant to
				W.S.
				17-10-204(e) $
				50.00
(d) Any other filing $
				50.00
(e) Annual license tax is
				prescribed by W.S. W.S.
				W.S.
				17-16-1630
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0014 - Processing Cooperative Act › Chapter 2 - DISSOLUTION › Section 2-1 - Procedure for Administrative Dissolution

Current through July 13, 2024
At least annually, the Secretary of State may publish in a
				  newspaper in the county in which the registered office of the cooperative is
				  located notices of dissolutions to cooperatives which have failed to comply
				  with W. S.
										17-16-1630.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0014 - Processing Cooperative Act › Chapter 3 - FOREIGN COOPERATIVES › Section 3-2 - Foreign Processing Cooperative Transacting Business in Wyoming

Current through July 13, 2024
To the extent not inconsistent with the Wyoming Processing
				  Cooperative Act, W. S.
										17-10-201 through
				  W.S. W.S. W.S. 17-10-253, a processing
				  cooperative organized in another jurisdiction may do business in Wyoming by
				  complying with the Wyoming Business Corporation Act W. S.
				  
										17-16-1501 through 17-16-1510,
				  17-16-1520.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0014 - Processing Cooperative Act › Chapter 3 - FOREIGN COOPERATIVES › Section 3-3 - Procedure for Revocation

Current through July 13, 2024
At least annually, the Secretary of State may publish in a
				  newspaper in the county in which the registered office of the cooperative is
				  located notices of revocations of foreign cooperatives which have failed to
				  comply with
				  W.S.
				  17-16-1630.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 1 - PURPOSE, DEFINITIONS, GENERAL FILING PROVISIONS, AND COPIES OF RULES › Section 1-1 - Authority

Current through July 13, 2024
As the Registrar of Rules, the Secretary of State is
				  establishing requirements for rule formatting, definition of terms, initial
				  processes for rule promulgation, and rule filing under the Administrative
				  Procedure Act,
				  W.S.
				  16-3-101 through
				  16-3-106.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 1 - PURPOSE, DEFINITIONS, GENERAL FILING PROVISIONS, AND COPIES OF RULES › Section 1-2 - Definitions

Current through July 13, 2024
(a) "Administrative
				Rules System" means a database system providing access to proposed, emergency
				and final rules; providing for electronic submission and transmission of rules
				to the Governor's Office, Attorney General's Office, and Legislative Service
				Office as well as subscribers to rule notifications; and providing for
				electronic public comment submissions.
(b) "Amended" means a proposed regular rule
				that alters all or part of a current rule.
(c) "Chapter" means a grouping of rule
				sections having a common subject matter.
(d) "Cumbersome" means any document where
				formatting the incorporated material would cause the agency to purchase special
				software or incur unreasonable amounts of staff time to prepare including
				documents containing graphics, tables, drawings, equations, scientific
				nomenclature, special symbols, or non-Arabic numerals.
(e) "Current" means the regular rule
				presently in effect.
(f) "Date of
				Adoption" means the date the agency adopts rules.
(g) "Emergency Rule" means a temporary rule
				promulgated pursuant to
				W.S.
				16-3-103(b).
(h) "Filed" means the date the rule was
				accepted and made effective by the Registrar of Rules.
(i) "Final" means a regular rule that has
				been approved by the Governor and has been filed with the Registrar of
				Rules.
(j) "New" means:
(i) For the purposes of the Legislature's
				review, a rule that is promulgated in response to a Wyoming legislative
				enactment.
(ii) For the purposes of
				the Registrar of Rules, a rule that addresses issues not previously addressed
				in whole or in part by prior rulemaking.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 1 - PURPOSE, DEFINITIONS, GENERAL FILING PROVISIONS, AND COPIES OF RULES › Section 1-3 - Agency, Program, Chapter Modifications

Current through July 13, 2024
(a) If an agency
				name is changed, the agency shall notify the Registrar of Rules. The notice
				shall include the agency's old name, the agency's new name, and the authority
				for the name change.
(b) After the
				agency notifies the Registrar of Rules, the Registrar of Rules shall change the
				agency's name using the Administrative Rules System.
(c) Programs may be moved from one agency to
				another due to statutory changes or reorganization of government.
(i) The current rule chapters of a program
				being moved shall be repealed by filing a Proposed Rule Packet; and
(ii) The current rule chapters shall be new
				rules filed under the surviving agency and program.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 1 - PURPOSE, DEFINITIONS, GENERAL FILING PROVISIONS, AND COPIES OF RULES › Section 1-4 - General Filing Provisions

Current through July 13, 2024
(a) State agency
				rules shall be filed with the Registrar of Rules on the Administrative Rules
				System. All forms shall be mandatory unless specified otherwise and are found
				at
https://rules.wyo.gov
under the
				"Quick Links" heading.
(b) An
				agency proposing rules shall use the Wyoming Administrative Rules System to
				file all proposed rules packets in accordance with Chapter 3 of these Rules.
				After the Registrar of Rules verifies that a proposed rule packet complies with
				the Rules on Rules, the Administrative Rules System shall deliver notice of the
				proposed rules to any individuals who requested notice of proposed
				rules.
(c) An agency promulgating
				rules shall use the Administrative Rules System to file all rules packets in
				accordance with Chapter 3 of these Rules. After the Registrar of Rules verifies
				that a filed rule packet complies with the Rules on Rules, the Administrative
				Rules System shall deliver the complete packet to the Governor, the Legislative
				Service Office, and the Attorney General.
(d) No rule shall include a table of
				contents, title page, or index in any rule packet.
(e) An agency proposing or promulgating rules
				shall submit the entire chapter of each rule.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 1 - PURPOSE, DEFINITIONS, GENERAL FILING PROVISIONS, AND COPIES OF RULES › Section 1-5 - Notices and Copies of Rules

Current through July 13, 2024
(a) The
				Administrative Rules System shall provide a subscription service for
				individuals to request notice of proposed, final, and emergency rules. The
				Administrative Rules System shall deliver notice of proposed, final, and
				emergency rules using that subscription service.
(b) Interested persons may obtain a certified
				copy of any filed rule from the Registrar of Rules upon written request and
				payment of a copy fee as set forth in
				W.S.
				9-1-305.
(c) If there is any dispute as to the
				contents of an agency's rules, the official copy of a state agency's rules
				shall be that which the Registrar of Rules hosts on its website at
https://rules.wyo.gov
.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 2 - FORMATTING › Section 2-1 - Format of Rules

Current through July 13, 2024
Rules shall be formatted as follows:
(a) The first page of every chapter shall
				contain the chapter number and chapter title, centered and in bold typeface at
				the top of the page.
(b) Section
				numbers and titles shall be in bold typeface.
(c) The bottom, top, left, and right margins
				of every page shall be one (1) inch.
(d) The rules shall be single-spaced with
				double spaces between paragraphs and be left justified.
(e) Page numbers shall appear on every page
				in the center of the bottom margin half an inch from the bottom of the page.
				The page numbers shall begin with the chapter number and be followed by a
				hyphen and the page number.
(f) The
				clean Word version shall not contain word style types or header and/or footer
				information with the exception of page numbers.
(g) Text shall be 12-point black Calibri font
				or Times New Roman font.
(h) Text
				on the second and subsequent lines following a Section, Sub-section, Paragraph,
				Subparagraph, etc. shall wrap to the left margin.
(i) Arrangement of rules shall be in the
				following format:
The remainder of this page is intentionally left
				  blank
Click here
				  to view image
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 2 - FORMATTING › Section 2-2 - Embedded Tables and Images

Current through July 13, 2024
Rules may contain information in tables and images.
(a) If a rule includes a table, the header
				row shall appear at the top of every page on which the table appears.
(b) Agencies shall include tables, images,
				and technical drawings by reference whenever possible.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 2 - FORMATTING › Section 2-3 - Appendices

Current through July 13, 2024
Appendices shall either:
(a) Be incorporated as part of the rule
				chapter to which they apply; or
(b)
				Be submitted as a separate chapter of rules having a sequential chapter number
				and an appropriate chapter name.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 3 - TYPES OF RULES FILINGS › Section 3-1 - Process for Submitting Proposed Rules

Current through July 13, 2024
(a) Before
				submitting proposed rules with the Registrar of Rules, an agency shall request
				and receive permission to proceed from the Governor's Office.
(b) After receiving permission to proceed
				from the Governor's Office, an agency promulgating rules shall use the
				Administrative Rules System to submit its proposed rules consisting of:
(i) Proposed Rules PDF Packet that is
				searchable containing the:
(A) Notice of
				intent to promulgate rules;
(B)
				Statement of principal reasons for adoption of rules;
(C) Clean copy of each proposed rule chapter;
				and
(D) Strike and underscore copy
				of each proposed rule chapter.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 3 - TYPES OF RULES FILINGS › Section 3-2 - Process for Filing Final Rules

Current through July 13, 2024
(a) If an agency
				fails to file final rules within seventy-five (75) days from the date the rules
				are adopted, the agency shall file a new notice of intent to adopt the
				rules.
(b) Within ten (10) days of
				adopting rules, pursuant to
				W.S.
				28-9-103(b), the agency
				shall use the Wyoming Administrative Rules System to submit its final rules
				consisting of:
(i) Final Rules PDF Packet
				that is searchable containing the:
(A)
				Certification page for regular and emergency rules bearing the signature of the
				agency, commission, or board authorized individual;
(B) Statement of principal reasons for
				adoption of rules;
(C) Summary of
				comments and responses. If an agency received no comments, the agency shall
				state that there were no comments;
(D) Clean copy of the each chapter of final
				rules; and
(E) Strike and
				underscore copy of each chapter of final rules.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 3 - TYPES OF RULES FILINGS › Section 3-3 - Process for Filing Non-Substantive Changes

Current through July 13, 2024
(a) Agencies may
				modify final regular rules under this section without prior notice or a
				hearing.
(b) Agencies may not move
				text from one chapter to another under this section.
(c) Agencies' Attorney General
				representatives shall determine whether this section permits the agency to
				modify their rules.
(d) Agencies
				may not modify emergency rules under this section.
(e) Agencies may modify their current rules
				under this section for the following reasons:
(i) Updating the name of an agency by reason
				of a name change prescribed by law;
(ii) Correcting spelling and grammatical
				mistakes in a manner that does not alter the scope, application, or meaning of
				the rule;
(iii) Correcting
				statutory or rule references; or
(iv) Correcting physical addresses, telephone
				numbers, or website or email addresses.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 3 - TYPES OF RULES FILINGS › Section 3-4 - Emergency Rules

Current through July 13, 2024
(a) Emergency rules shall follow the same
				format as regular rules as set forth in Chapter 2 with the following addition:
(i) Emergency Rules shall, in boldface and
				underlined type, include the following statement directly below the Chapter
				Title:
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0016 - Rules on Rules for State Agencies › Chapter 3 - TYPES OF RULES FILINGS › Section 3-5 - Withdrawing Proposed Rules

Current through July 13, 2024
(a) An agency may
				withdraw any proposed rule at any time before the Governor acts on the proposed
				rule by notifying the Registrar of Rules at Rules@wyo.gov and the Governor's
				Office.
(b) An agency may not
				withdraw a current rule or emergency rule.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 1 - AUTHORITY & PURPOSE › Section 1-1 - Authority and Statement of Purpose

Current through July 13, 2024
These rules are promulgated pursuant to Wyoming Statute
				  §
									
										17-4-605 of the Wyoming Uniform Securities
				  Act ("Act"). The purpose of the Act is to protect Wyoming investors through a
				  prohibition against fraud in the offers and sales of securities; the
				  registration and exemption of securities; the registration of agents of brokers
				  and issuers who sell securities, and the registration of investment advisers
				  and investment adviser representatives who recommend the purchase and sale of
				  securities. The Secretary of State is establishing these rules to comply with
				  the Act.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 2 - DEFINITIONS › Section 2-1 - Definition by Acronym

Current through July 13, 2024
(a) CRD. Central
				Registration Depository.
(b) IARD.
				Investment Adviser Registration Depository.
(c) EFD. Electronic Filing
				Depository.
(d) FINRA. Financial
				Industry Regulatory Authority.
(e)
				NASAA. North American Securities Administrators Association.
(f) SCOR. Small Corporate Offering
				Registration.
(g) SEC. Securities
				and Exchange Commission.
(h) SRO.
				Self-Regulatory Organization.
(i)
				WIN. Wyoming Invests Now. Wyoming's Crowdfunding Exemption.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 2 - DEFINITIONS › Section 2-6 - Issuer's Agent(s)

Current through July 13, 2024
Issuer's agents are those persons transacting business in
				  securities on behalf of an issuer. Issuer's agents are restricted to
				  transacting business in the securities of an issuer for which they are
				  affiliated.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 2 - DEFINITIONS › Section 2-7 - Mass Transfer

Current through July 13, 2024
Mass transfer means transfer of a broker-dealer's agents from
				  one entity to another due to broker-dealer registration termination;
				  broker-dealer name change or reorganization; broker-dealer acquisition, merger
				  or succession. Mass transfer is effected through the CRD without filing
				  individual forms U-4 or U-5.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 2 - DEFINITIONS › Section 2-14 - Segregated Account

Current through July 13, 2024
Segregated account means any account which may receive
				  deposits of cash located at any financial institution in the United States
				  which insures its deposits through an agency of the federal government. This
				  account shall be used only for deposits of offering proceeds and shall not be
				  used for other types of deposits.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 2 - DEFINITIONS › Section 2-16 - Uniform Forms

Current through July 13, 2024
A list of Uniform forms are referred to in these rules as
				  follows:
(a) Form U-1 is the Uniform
				Application to Register Securities.
(b) Form U-2 is the Uniform Consent to
				Service of Process.
(c) Form U-2a
				is the Uniform Corporate Resolution.
(d) Form U-4 is the Uniform Application for
				Securities Industry Registration.
(e) Form U-5 is the Uniform Termination
				Notice for Securities Industry Registration.
(f) Form U-7 is the disclosure document and
				instructions for completion of the disclosure document known as the
				Registration Form for Small Corporate Offerings.
(g) Form ADV is the Uniform Application for
				Investment Adviser Registration.
(h) Form ADV-W is the Uniform Request for
				Withdrawal from Registration as an Investment Adviser.
(i) Form D is Notice of Exempt Offering of
				Securities.
(j) Form BD is the
				Uniform Application for Broker-Dealer Registration.
(k) Form BDW is the Uniform Request for
				Withdrawal from Registration as a Broker-Dealer.
(l) Model Accredited Investor Exemption
				Uniform Notice of Transaction is the notice of sale of securities pursuant to
				accredited investor exemption.
(m)
				Form NF is the Uniform Investment Company Notice Filing.
(n) Regulation A - Tier 2 Notice Filing Form
				is the Uniform Notice Filing Regulation A - Tier 2 Offering.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 2 - DEFINITIONS › Section 2-17 - Unit Investment Trust

Current through July 13, 2024
Unit Investment Trust means an investment company which is
				  organized under a trust indenture, contract of custodianship or agency, or
				  similar instrument which does not have a board of directors and issues only
				  redeemable securities each of which represents an undivided interest in a unit
				  of specified securities, but does not include a voting trust.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 2 - DEFINITIONS › Section 2-19 - Social Criteria

Current through July 13, 2024
Social criteria include any criterion that is intended to
				  further, or is branded, advertised, or otherwise publicly described as
				  furthering, any of the following:
(a)
				International, domestic, or industry agreements relating to environmental or
				social goals;
(b) Corporate
				governance structures based on social characteristics;
(c) Social or environmental goals.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 3 - PUBLIC ACCESS › Section 3-1 - Records/Public Access

Current through July 13, 2024
The Secretary of State shall:
(a) Maintain a register of all applications
				for registration and all notice filings. The Secretary of State may utilize
				national computer registration depositories, microfiche or other electronic or
				compressed storage technologies to maintain such records as allowed by
				statute.
(b) Grant access to
				registration and notice filing records which have been filed pursuant to the
				Wyoming Uniform Securities Act and by these rules in accordance with the
				Wyoming Public Records Act, W.S. §
									
										16-4-203.
(c) Deny public access to documents
				pertaining to any investigation obtained by subpoena, from complainants, from
				third parties or from other sources. Investigation documents may contain
				information which has not been authenticated or which may do substantial injury
				to the public interest or the trust complainants and respondents place in the
				confidentiality of financial or commercial transactions reported to the
				Secretary of State as part of an investigation. Such documents are records of
				investigations which may be excluded from public access under W.S. §
									
										16-4-203(b)(1). Nothing in
				this rule shall prevent the Secretary of State from allowing securities
				administrators of other states, the securities and exchange commission, any
				national securities exchange or national securities association registered
				under the Securities Act of 1934, or any law enforcement agency access to
				investigation records.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 4 - BROKER-DEALER REGULATIONS › Section 4-1 - Initial Registration

Current through July 13, 2024
An applicant seeking broker-dealer registration in
				  Wyoming:
(a) Shall make initial
				application by completing the Form BD in accordance with the form instructions,
				filing the form with the CRD, and paying the fee set forth in W.S. §
									
										17-4-410.
(b) Shall supply their last annual audited
				financial statement prepared by an independent certified public accountant and
				filed with the SEC pursuant to SEC Rule 17a-5(d).
(i) If a recently formed broker-dealer does
				not have an audited financial statement, an unaudited financial statement may
				be substituted if it has been signed and dated within 90 days of the date of
				application by an appropriate officer or principal of the broker-dealer. A copy
				of SEC Form X-17A-5 (Focus Report Part II or IIA) may be used as an unaudited
				financial statement provided that document includes Part II or Part IIA dated
				within 90 days of the date of application.
(ii) The unaudited financial statement shall
				contain a compilation of net capital figured according to net capital
				regulations contained in federal laws and rules.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 4 - BROKER-DEALER REGULATIONS › Section 4-2 - Registration Procedures

Current through July 13, 2024
(a) When
				registering a broker-dealer, the Secretary of State may:
(i) Accept application materials by email
				addressed to compliance@wyo.gov.
(ii) Accept an initial application pursuant
				to this section and delay the effectiveness of the registration until January 1
				at the request of the applicant provided the information on Form BD remains
				current.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 4 - BROKER-DEALER REGULATIONS › Section 4-3 - General Broker-Dealer Requirements

Current through July 13, 2024
(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.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 4 - BROKER-DEALER REGULATIONS › Section 4-4 - Renewal

Current through July 13, 2024
(a) Every
				broker-dealer registered in Wyoming which desires to renew its registration
				shall renew through the CRD and follow the renewal procedures established by
				the CRD of each year.
(b) If
				renewal fees are not paid on or before the cut-off date established by the CRD,
				a broker-dealer's registration may be subject to administrative action on
				January 1 or thereafter for willful failure to comply with any provision of the
				Act or rules following notice, opportunity for hearing, and written findings of
				fact and conclusions of law.
(i) Notice, as
				contemplated in this section, shall be given by the Secretary of State via a
				letter to the broker-dealer's last known address advising the broker-dealer of
				its failure to renew and need for immediate compliance;
(ii) To the extent the broker-dealer cannot
				be located, mailing a copy of any Order Canceling Broker-Dealer Registration to
				the broker-dealer's last known address shall be deemed sufficient notice and
				service by the Secretary of State of the requirement and failure of the
				broker-dealer to renew;
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 4 - BROKER-DEALER REGULATIONS › Section 4-6 - Conduct

Current through July 13, 2024
Every broker-dealer shall observe high standards of
				  commercial honor and just and equitable principles of trade in the conduct of
				  their business. Acts and practices including but not limited to items set forth
				  by NASAA on DISHONEST OR UNETHICAL BUSINESS PRACTICES OF BROKER-DEALERS AND
				  AGENTS (Statement of Policy) adopted May 23, 1983 (found at nasaa.org), herein
				  incorporated by reference, may be considered contrary to such standards. These
				  acts and practices may constitute dishonest or unethical practices as found in
				  W.S. §
									
										17-4-412(d)(xiii) or other
				  listed grounds for denial, suspension or revocation of registration, monetary
				  penalty or such other action authorized by statute.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 4 - BROKER-DEALER REGULATIONS › Section 4-7 - Required Disclosures for Investments that Incorporate a Social Objective

Current through July 13, 2024
(a) If a
				broker-dealer incorporates a social objective into a discretionary investment
				decision to buy or sell a security or commodity for a customer or client, a
				recommendation or solicitation to a customer or client for the purchase or sale
				of a security or commodity, or the selection, recommendation or advice to a
				customer or client regarding the selection of a third-party manager or
				subadviser to manage the investments in the customer or client's account, then
				such broker-dealer shall disclose to such customer or client the existence of
				such incorporation.
(b) The
				disclosure obligation under subsection (a) of this section is satisfied by
				providing clear and conspicuous disclosure, via written communication.
				Thereafter, the disclosure shall be provided to the customer or client on an
				annual basis and whenever the broker-dealer undergoes a suitability review with
				a customer.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 5 - SECURITIES AGENT REGULATIONS › Section 5-1 - Initial Registration

Current through July 13, 2024
Persons applying for securities agent registration
				  shall:
(a) Be affiliated with a
				broker-dealer who is currently registered with the Secretary of State, unless
				registering as an agent of an issuer under Section 2 of this Chapter.
(b) Make initial application by completing
				the Uniform Application for Securities Industry Registration, Form U-4, in
				accordance with the form instructions, filing the form with the CRD, and paying
				the fee set forth in W.S. §
									
										17-4-410(b) through the
				CRD.
(c) Take and achieve a passing
				score on the Uniform Securities Agent State Law Examination (USASLE, Series 63)
				or the Uniform Combined State Law Exam (Series 66) and take and pass any
				qualification examination for agents appropriate to the category of
				registration requested with FINRA or other securities exchange. The Secretary
				of State may waive this requirement if:
(i)
				The applicant has taken and achieved a passing score on the Series 63 exam or
				Series 66 exam within two years of the date of application; or
(ii) The applicant has taken and achieved a
				passing score on the Series 63 exam or Series 66 exam and has been registered
				in another jurisdiction without a lapse in registration for two or more years,
				or;
(iii) The applicant was
				registered as a securities agent in Wyoming before January 1, 1982 and has been
				continuously registered since that time; or
(iv) The applicant has been continuously
				registered in another jurisdiction not requiring the Series 63 Examination
				since January 1, 1982 or before or;
(v) Is an executive corporate officer,
				director, corporate officer of a general partner or manager of an issuer
				marketing its own securities and who does not receive sales related
				remuneration.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 5 - SECURITIES AGENT REGULATIONS › Section 5-2 - Agent of an Issuer

Current through July 13, 2024
(a) If registering
				as an agent representing an issuer, complete the appropriate portions of Form
				U-4. Sections of the Form U-4 solely applicable to registration as an agent for
				a brokerdealer may be left blank. Submit the application to the Secretary of
				State along with the fee as prescribed in W.S. §
									
										17-4-410(b).
(b) Take and achieve a passing score on the
				Uniform Securities Agent State Law Examination (USASLE, Series 63) or the
				Uniform Combined State Law Exam (Series 66) consistent with the provisions in
				Chapter 5, Section 1(c) above.
(c)
				The Secretary of State may make an agent of an issuer registration effective
				during the period an issuer's securities are being sold pursuant to an
				effective registration statement or being sold pursuant to certain pertinent
				securities exemptions. The agents of an issuer cease to be registered as
				securities agents when:
(i) the issuer's
				registration statement ceases to be effectively registered; or
(ii) the exempt offering is
				complete.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 5 - SECURITIES AGENT REGULATIONS › Section 5-3 - Securities Agent Renewal

Current through July 13, 2024
(a) Securities
				agents employed by broker-dealers renew through the CRD according to
				instructions provided by CRD each year.
(b) Agents of an issuer who wish to renew
				their registration shall renew registration on their anniversary effective date
				by submitting a letter to the Secretary of State.
(c) All agents shall amend information on
				their application Form U-4 whenever the information on file changes, but not
				later than thirty days following a material change.
Wyoming Administrative Code › Agency 002 - Secretary of State › Sub-Agency 0017 - Securities › Chapter 5 - SECURITIES AGENT REGULATIONS › Section 5-4 - Termination

Current through July 13, 2024
(a) When an agent
				ends its affiliation with a broker-dealer, the broker-dealer shall file the
				Uniform Termination Notice for Securities Industry Registration, Form U-5, with
				CRD. A broker-dealer shall file the U-5 of any agent within 30 days unless a
				longer period of time is approved by the Secretary of State.
(b) Agents of an issuer may end their
				registration by submitting a letter to the Secretary of State indicating their
				desire to terminate their registration.
(c) Issuers may end an agent's registration
				by submitting a letter to the Secretary of State indicating their desire to
				terminate the agent's registration.