Welcome to the FAQs

Investing / Broker-Dealer / Agent

Audited Financials are only required upon initial registration.
Wyoming does not require Investment Adviser's to register at the State level. However, beginning July 1, 2017, Investment Advisers, Investment Adviser Representatives and Federally Covered Investment Advisers may be subject to Wyoming Registration and Examination. Please click here to learn more.
We reqire that you send the Execution page of the Form BD with original signature, most recent Audited Financials, and most recent Focus Report to complete registration in our State.
Wyoming is a "post" filing State. That means the Form D for a Regulation D Filing must be filed with our office 15 days after the first sale in Wyoming.