Dealer Requirements: Officers must be registered with the State of Wyoming using a U-4 Form and pass a Series 63 Exam if they are to accept a commission.

Official Recognition: Yes

Forms: Completion of U-1 and U-7 Forms are needed to register offerings.

Instructions: The Securities Division advises that applicants have a meeting with the commissioner prior to filling out the application in order to facilitate the application process.

Regulatory Contact:

Contact:
Securities Division , Secretary of the State

Address:
24th & State Capital Ave.
Cheyenne WY 82002-0020

Phone:
(307) 777-5333
Fax:
(307) 777-6217
Email:
securities@missc.state.wy.us

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