(a)With respect to a federal covered security, as defined
in section 18(b)(2) of the Securities Act of 1933 (15 U.S.C. §
77r(b)(2)), that is not otherwise exempt under W.S. 17-4-201
through 17-4-204, a rule adopted or order issued under this act
may require the filing of any or all of the following records: (i)Before the initial offer of a federal covered
security in this state, all records that are part of a federal
registration statement filed with the securities and exchange
commission under the Securities Act of 1933 and a consent to
service of process complying with W.S. 17-4-611 signed by the
issuer and the payment of a fee of two hundred dollars
($200.00);
(ii)After the initial offer of the federal covered
security in this state, all records that are part of an
amendment to a fed
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(a) With respect to a federal covered security, as defined
in section 18(b)(2) of the Securities Act of 1933 (15 U.S.C. §
77r(b)(2)), that is not otherwise exempt under W.S. 17-4-201
through 17-4-204, a rule adopted or order issued under this act
may require the filing of any or all of the following records:
(i) Before the initial offer of a federal covered
security in this state, all records that are part of a federal
registration statement filed with the securities and exchange
commission under the Securities Act of 1933 and a consent to
service of process complying with W.S. 17-4-611 signed by the
issuer and the payment of a fee of two hundred dollars
($200.00);
(ii) After the initial offer of the federal covered
security in this state, all records that are part of an
amendment to a federal registration statement filed with the
securities and exchange commission under the Securities Act of
1933; and
(iii) To the extent necessary or appropriate to
compute fees, a report of the value of the federal covered
securities sold or offered to persons present in this state, if
the sales data are not included in records filed with the
securities and exchange commission and payment of a fee as set
by rule.
(b) A notice filing under subsection (a) of this section
is effective for two (2) years commencing on the later of the
notice filing or the effectiveness of the offering filed with
the securities and exchange commission. On or before expiration,
the issuer may renew a notice filing by filing a copy of those
records filed by the issuer with the securities and exchange
commission that are required by rule or order under this act to
be filed and by paying a renewal fee as set by rule. A
previously filed consent to service of process complying with
W.S. 17-4-611 may be incorporated by reference in a renewal. A
renewed notice filing becomes effective upon the expiration of
the filing being renewed.
(c) With respect to a security that is a federal covered
security under section 18(b)(4)(D) of the Securities Act of 1933
(15 U.S.C. § 77r(b)(4)(D)), a rule under this act may require a
notice filing by or on behalf of an issuer to include a copy of
Form D, including the appendix, as promulgated by the securities
and exchange commission, and a consent to service of process
complying with W.S. 17-4-611 signed by the issuer not later than
fifteen (15) days after the first sale of the federal covered
security in this state and the payment of a fee as set by rule;
and the payment of a fee for any late filing as set by rule.
(d) Except with respect to a federal security under
section 18(b)(1) of the Securities Act of 1933 (15 U.S.C. §
77r(b)(1)), if the secretary of state finds that there is a
failure to comply with a notice or fee requirement of this
section, the secretary of state may issue a stop order
suspending the offer and sale of a federal covered security in
this state. If the deficiency is corrected, the stop order is
void as of the time of its issuance and no penalty may be
imposed by the secretary of state.