Welcome to the FAQs

Investing / Broker-Dealer / Agent

Audited Financials are only required upon initial registration.
Wyoming does not require Investment Adviser's to register at the State level. However, beginning July 1, 2017, Investment Advisers, Investment Adviser Representatives and Federally Covered Investment Advisers may be subject to Wyoming Registration and Examination. Please click here to learn more.
We reqire that you send the Execution page of the Form BD with original signature, most recent Audited Financials, and most recent Focus Report to complete registration in our State.
Wyoming is a "post" filing State. That means the Form D for a Regulation D Filing must be filed with our office 15 days after the first sale in Wyoming.
$200.00.

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.