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Questions about Broker-Dealer and Securities Agent registrations may be directed to 307.777.7370 or emailed to the Compliance Auditor. Correspondence may be directed to:
Attn: Compliance Auditor
State Capitol Building
200 West 24th Street
Cheyenne, WY 82002-0020
Broker-Dealer (BD) applicants must be registered in good standing with the Federal Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
Corporations not domiciled in Wyoming MAY need to seek a corporate Certificate of Authority to transact business in Wyoming as a foreign domiciled corporation pursuant to W.S. 17-16-1501. The Certificate of Authority is a requirement of the Wyoming Business Corporation Act not the Wyoming Uniform Securities Act. A Certificate of Authority is generally not required for firms doing business exclusively by mail or phone having no business location in the State and having no employees or assets employed in the State. Forms, questions & topics dealing with a Certificate of Authority are available only through the Secretary of State's Business Division at 307.777.7311.
The above form can be found on the NASAA website.