Wyoming Administrative Code

Chapter 2 Formatting Section 1. Format of Rules. Rules shall be formatted as follows: (a) The first page of every chapter shall contain the chapter number and chapter title, centered and in bold typeface at the top of the page. (b)Section numbers and titles shall be in bold typef…

Chapter 3 Types of Rules Filings Section 1. Process for Submitting Proposed Rules. (a) Before submitting proposed rules with the Registrar of Rules, an agency shall request and receive permission to proceed from the Governor's Office. (b) After receiving permission to proceed fro…

Chapter 1 Authority & Purpose Section 1.Authority and Statement of Purpose. These rules are promulgated pursuant to Wyoming Statute §17-4-605 of the Wyoming Uniform Securities Act ("Act"). The purpose of the Act is to protect Wyoming investors through a prohibition against fraud …

Chapter 10 INVESTMENT ADVISER REGULATIONS Section 1. Investment Adviser Registration. (a) Initial Registration. The application for initial registration as an investment adviser pursuant to W.S. § 17-4-403(a) shall be made by completing the Uniform Application for Investment Advi…

Chapter 11 Financial Technology Sandbox Section 1. Authority and effective date. Wyoming Statute § 40-29-109(a) and 2019 Session Laws, Ch.61, § 4 require the Secretary of State to promulgate rules to implement the Financial Technology Sandbox Act on or before January 1, 2020. The…

Chapter 2 DEFINITIONS Section 1. Definition by Acronym. (a) CRD. Central Registration Depository. (b) IARD. Investment Adviser Registration Depository. (c) EFD. Electronic Filing Depository. (d) FINRA. Financial Industry Regulatory Authority. (e) NASAA. North American Securities …

Chapter 4 BROKER-DEALER REGULATIONS Section 1. Initial Registration. An applicant seeking broker-dealer registration in Wyoming: (a) Shall make initial application by completing the Form BD in accordance with the form instructions, filing the form with the CRD, and paying the fee…

Chapter 5 SECURITIES AGENT REGULATIONS Section 1. Initial Registration. Persons applying for securities agent registration shall: (a) Be affiliated with a broker-dealer who is currently registered with the Secretary of State, unless registering as an agent of an issuer under Sect…

Chapter 6 EXEMPTIONS FROM REGISTRATION & CROWDFUNDING Section 1.Exemptions. The following rules correspond with provisions of W.S. §17-4-201 and 202 for further clarification of securities and transactions exempt from registration. (a)Isolated non-issuer transaction as used in W.…

2527 Chapter 7 SECURITIES REGISTRATION Section 1.Registration By Coordination. (a)Every person registering securities by coordination, W.S. §17-4-303, shall: (i)file a fully executed Uniform Application to Register Securities, Form U-1 along with a consent to service of process a…

Chapter 9 NOTICE FILINGS FOR COVERED SECURITIES Section 1.Investment Company Securities. (a)Except as provided in subsection (b), no investment company that is registered under the Investment Company Act of 1940 or that has currently filed a registration statement under the Secur…

Chapter 1 Trademark Information Section 1. General Provisions. (a) Authority. These rules are promulgated by the Secretary of State under W.S. 40-1-116. (b) Definitions. (i) "Applicant" means a person who has submitted an application for the registration of a mark to the Secretar…

Chapter 1 General Provisions Section 1.Authority and Purpose. The secretary of state is adopting these rules to promote the uniform administration of the Registered Offices and Agents Act, (the Act). The secretary of state is authorized to promulgate rules pursuant to W.S. 17-28-…

Chapter 10 Commercial Registered Agents Section 1.Applicability. This chapter applies to only Commercial Registered Agents (CRAs) required by law to file with the secretary of state. Section 2.Registration Requirements. (a) A registered agent that represents more than ten (10) en…

Chapter 2 Registered Agent Appointments, Resignations, Updates and Other Filings Section 1.Appointment of New Registered Agent and Office. (a) A business entity may change its registered agent by signing and delivering to the secretary of state for filing an Appointment of New Re…

Chapter 8Actions Against Registered Agents Section 1.Penalties. (a) The secretary of state may impose up to a $500 civil penalty for each violation of the Registered Offices and Agents Act (the Act), pursuant to the grounds cited in W.S. 17-28-109. (b) The secretary of state may …

Chapter 9 Registered Agent Requirements Section 1.Duties. (a) A registered agent shall: (i) Comply with the Registered Offices and Agents Act, W.S. 17-28-101 et seq. (the Act); (ii) Maintain a registered office that is a physical location at a street address and not a post office…

Chapter 1 General Provisions Section 1.Authority and Purpose. The secretary of state is adopting these rules to promote uniform administration of Wyoming Statutes as they pertain to business entity filings. The secretary of state is authorized to promulgate rules pursuant to: (a)…

Chapter 2 Business Entity Names Section 1. Business Entity Names Restricted Use. (a) A proposed business entity name, whether domestic, foreign or fictitious name, shall not be the same as or deceptively similar to any trade name, trademark or service mark registered in this stat…

Chapter 3 Foreign Business Entities Section 1. Reinstatements. A foreign business entity reinstating after failure to pay the annual fees and/or failure to maintain a registered agent, shall submit a certificate of existence/evidence/good standing dated within sixty (60) days pri…

Chapter 4 Annual Reports Section 1. Definitions. (a) "Assessed value" is the taxable value of an asset subject to a Wyoming ad valorem tax as defined by W.S. 39-11-101(a)(i) as shown on the annual assessment schedule prepared by the County Assessor. Generally, assets which have a…

Chapter 5 Limited Liability Company - Series Section 1.Authority. These rules are promulgated under Wyoming Statute 17-29-1102 and Section 2 of House Enrolled Act 24 (2018). Section 2.Series Creation, Naming, and Termination. (a) Creation of Series (i) The creation of any series …

Bucking Horse and Rider Chapter 1 Section 1. Authority. The Secretary of State has authority to promulgate rules regulating the licensing and use of the Bucking Horse and Rider under W.S. 8-3-117(a). Section 2. Definitions. (a) "Commercial" means any person or entity creating mer…

Chapter 1 Digital Asset Registration Section 1. Authority and Purpose. The Secretary of State is adopting these rules to promote uniform administration of Wyoming Statutes as they pertain to registration of digital assets. The Secretary of State is authorized to promulgate these …

Chapter 1 Uniform Procedures, Fees, Costs, and Charges for Inspecting, Copying, and Producing Public Records Section 1. Authority. The State Auditor's Office is required under W.S. 16-3-103(j)(ii) to adopt the Department of Administration and Information's uniform rules pertainin…

CHAPTER 1 SHORT-TERM LOCAL INVESTMENT POOL Section 1. Purpose. The purpose of these rules is to set forth procedures for the operation of a short-term local investment pool, pursuant to the provisions of W.S. § 9-1-416. Section 2. Authority. These rules are adopted pursuant to W.…

CHAPTER 2 LONG-TERM LOCAL INVESTMENT POOL Section 1. Purpose. The purpose of these rules is to set forth procedures for the operation of a second local investment pool with more long-term redemption options than the local investment pool established under Wyoming Statute 9-1-416,…

CHAPTER 3 LONG-TERM LOCAL INVESTMENT EQUITIES POOL Section 1. Purpose. The purpose of these rules is to set forth procedures for the operation of a third local investment pool for investments in equities with longer-term redemption options than the local investment pools establis…

CHAPTER 2 INDUSTRIAL DEVELOPMENT BOND INVESTMENT PROGRAM Section 1. Authority. These rules are promulgated in accordance with the Wyoming Administrative Procedures Act, W.S. 16-3-101 through 16-3-115, and the State Treasurer's rule- making authority in W.S. 9-4-715(m). Section 2.…

CHAPTER3 ECONOMIC DEVELOPMENT LARGE PROJECT PROGRAM Section 1. Authority. These rules are promulgated in accordance with the Wyoming Administrative Procedure Act, W.S. 16-3-101 through 16-3-115 and the State Treasurer's rule-making authority in Section 2(j) of 2014 Wyoming Sessio…

Chapter 1 Uniform Procedures, Fees, Costs, and Charges for Inspecting, Copying, and Producing Public Records Section 1. Authority. The Treasurer is required under Wyoming Statute 16-3-103(j)(ii) to adopt the Department of Administration and Information's uniform rules pertaining …

CHAPTER I GENERAL INFORMATION Section 1. Purpose. To set forth rules governing the administration of the local government insurance account and loss prevention program. Section 2. Statutory Authority. These rules are promulgated pursuant to W.S. 1-42-105 (a) (xiii) and 1-42-105(c…

CHAPTER X INTERFUND TRANSFER; REPAYMENT TO ACCOUNT; INVESTMENT OF FUNDS Section 1. Interfund Transfer. Upon certification by the governor to the State Treasurer that there are inadequate monies in the local government insurance account to meet the obligations under W.S. 1-42- 103…

CHAPTER XI APPLICABILITY Section 1. Applicability. This act applies to claims against a local government or its public employees based upon acts, errors or omissions occurring on and after the date the risk manager issues a certificate certifying the local government has complete…

CHAPTER XIII CHANGES TO RULES AND REGULATIONS Section 1. Changes. Any new legislation, adopted after the effective date of these rules and regulations, which either changes or adds to these rules and regulations shall automatically form a part of these rules and regulations. Sect…

CHAPTER II ADMINISTRATION Section 1. Creation of Policy Board. The Governor shall appoint a Local Government Self- Insurance Policy Board composed of seven (7) members, whose term of appointment shall be for two (2) years and who may be reappointed. The Board shall be comprised o…

CHAPTER III POWERS AND DUTIES OF RISK MANAGER Section 1. Powers and Duties. Except as otherwise provided in this act, this risk manager shall: (a) Administer the local government insurance account; (b) Implement and administer a loss prevention program for participating local gov…

CHAPTER IV PROCEDURES FOR ENROLLMENT IN THE LOCAL GOVERNMENT SELF INSURANCE PROGRAM Section 1. Application and determination of eligibility. (a) An interested local government shall submit a letter to the Division stating its interest in enrolling in the Local Government Self Ins…

CHAPTER V COVERAGES UNDER LOCAL GOVERNMENT SELF INSURANCE PROGRAM Section 1. Purpose of the Program. To handle claims made under the Wyoming Governmental Claims Act and claims arising under 42 U.S.C.s 1983 or other federal statutes. Coverage shall be provided only for such claims…

CHAPTER V IPROCEDURE FOR CLAIM FILING AND NOTIFICATION Section 1. Claim Procedure. Nothing in these rules or the certificate of participation shall be deemed to obviate the necessity of compliance with W.S. 1-39-113 through W.S. 1-39-115. Section 2. Local Government Responsibilit…

CHAPTER VII CANCELLATION POLICY Section 1. Voluntary Cancellations. (a) Cancellation by a participant shall normally be allowed at the end of the coverage period set forth in the certificate of participation. The Board may allow midterm cancellations. Such cancellations shall res…

CHAPTER VIII COMPROMISE OR SETTLEMENT OF CLAIMS AUTHORITY Section 1. Procedure for Settlement. Once a determination has been made that a claim shall be settled the Division will notify the local government of the recommended settlement before a settlement offer is made. Section 2…

CHAPTER IX REPORTS Section 1. Annual Report. The Division shall make an annual report to the governor and the Legislature. The report shall include: (a) The total number of claims filed against participating local governments and their public employers under this act; (b) The num…

Chapter 1 GENERAL INFORMATION Section 1.Purpose. These rules shall govern the administration of the State Employees' and Officials' Group Insurance Act, Wyoming Statutes §§ 9-3-202 through 9-3-218, as amended. Section 2.Applicability. These rules apply to the Department of Admini…

CHAPTER 2 ADMINISTRATION Section 1. Advisory Panel Meetings. The Advisory Panel shall meet quarterly or upon call of the Director as may be necessary to conduct its business. Meetings shall be open to the public. A majority of the members of the Advisor Panel shall constitute a q…

CHAPTER 3 CONTESTED CASE PROCEEDINGS Section 1. Authority. The Department is authorized to under Wyoming Statute § 9‑3‑205(vi) to establish a procedure to hear complaints by insured employees concerning the allowance and payment of claims, eligibility for coverage and other matte…

CHAPTER I GENERAL PROVISIONS Section 1. Purpose. The Suggestion Award Program is established to recognize employees with monetary or other types of awards who contribute suggestions that reduce expenditures, increase revenues or productivity, eliminate safety hazards, improve eff…