JurisdictionWyomingTitle 17Corporations, Partnerships and Associations
Ch. 4SECURITIES
Art. 4BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS,
This text of Wyoming § 17-4-410 (Filing fees) is published on Counsel Stack Legal Research, covering Wyoming primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.
(a)A person shall pay a fee of two hundred fifty dollars
($250.00) when initially filing an application for registration
as a broker-dealer and a fee of two hundred fifty dollars
($250.00) when filing a renewal of registration as a broker-
dealer. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(b)The fee for an individual is forty-five dollars
($45.00) when filing an application for registration as an
agent, a fee of forty-five dollars ($45.00) when filing a
renewal of registration as an agent, and a fee of forty-five
dollars ($45.00) when filing for a change of registration as an
agent. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(c)A person shall pay a fee of two hundred fift
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(a) A person shall pay a fee of two hundred fifty dollars
($250.00) when initially filing an application for registration
as a broker-dealer and a fee of two hundred fifty dollars
($250.00) when filing a renewal of registration as a broker-
dealer. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(b) The fee for an individual is forty-five dollars
($45.00) when filing an application for registration as an
agent, a fee of forty-five dollars ($45.00) when filing a
renewal of registration as an agent, and a fee of forty-five
dollars ($45.00) when filing for a change of registration as an
agent. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(c) A person shall pay a fee of two hundred fifty dollars
($250.00) when filing an application for registration as an
investment adviser and a fee of two hundred fifty dollars
($250.00) when filing a renewal of registration as an investment
adviser. If the filing results in a denial or withdrawal, the
secretary of state shall retain the entire fee.
(d) The fee for an individual is forty-five dollars
($45.00) when filing an application for registration as an
investment adviser representative, a fee of forty-five dollars
($45.00) when filing a renewal of registration as an investment
adviser representative, and a fee of forty-five dollars ($45.00)
when filing a change of registration as an investment adviser
representative. If the filing results in a denial or withdrawal,
the secretary of state shall retain the entire fee.
(e) A federal covered investment adviser required to file
a notice under W.S. 17-4-405 shall pay an initial fee of two
hundred fifty dollars ($250.00) and an annual notice fee of two
hundred fifty dollars ($250.00).
(f) A person required to pay a filing or notice fee under
this section may transmit the fee through or to a designee as a
rule or order provides under this act.
(g) An investment adviser representative who is registered
as an agent under W.S. 17-4-402 and who represents a person that
is both registered as a broker-dealer under W.S. 17-4-401 and
registered as an investment adviser under W.S. 17-4-403 or
required as a federal covered investment adviser to make a
notice filing under W.S. 17-4-405 is not required to pay an
initial or annual registration fee for registration as an
investment adviser representative.