Broker-Dealers & Agents

Renewal & Regulation

The Broker-Dealer (BD) must renew its registration through the CRD system each year by December 31st.


  • $250 renewal fee for Broker-Dealer firms;
  • $45 renewal fee for Agencts of the Broker-Dealer;
  • Wyoming does not require any documents to be filed as part of the renewal process.

A Broker-Dealer who fails to participate in CRD renewal may contact the Secretary of State and deliver the appropriate renewal fees, and have the registration renewed for another year subject to payment of an administrative penalty pursuant to W.S. 17-4-412 in an amount not to exceed two hundred and fifty dollars ($250) for failure to comply with the Act and Rules.


Pursuant to W.S. 17-4-411(b) amendments must be filed with CRD promptly when the Form BD becomes inaccurate or incomplete in any material respect. Wyoming receives all BD amendments through the CRD system. Do not send Form BD Amendments to the Secretary of State.


The State requires no pre-submission of advertisements directed toward Wyoming residents so long as FINRA advertising approval rules are being followed.


The State does not require registration or designation of a principal.


Financial statements are only required upon initial registration and need NOT be filed with the Secretary of State annually.


The Form BD can be found on the NASAA website.

Office Information

Herschler Building East
122 W 25th St
Suites 100 and 101
Cheyenne, WY 82002-0020

For additional information,
including driving directions,
please see the Contact Us page.

Office Hours

8:00 a.m. to 5:00 p.m. MST
Monday through Friday
(except for official state holidays)

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About Our Office

We have a long history of serving the public. Beginning in April 1869 with the appointment of the first Secretary of the Territory of Wyoming, Edward M. Lee, by United States President Ulysses S. Grant, this office has always served the public from the State Capitol Building. However, following the completion of the Capitol Renovation Project in 2019, the Office is now located at Herschler Building East, Suites 100 and 101.