Title 17 — Title 17 — Corporations, Partnerships And Associations
32 chapters · 1,419 sections in this title.
W.S. § 17-4-111 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-112 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-113 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-114 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-115 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-116 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-117 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, § 1. 1. 1. 1. 1. 1. 1. 1. 1. 1. 1. 1.
W.S. § 17-4-118 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-119 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-120 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-121 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-122 Repealed by Laws 2016, ch
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Repealed by Laws 2016, ch. 22, § 3.
W.S. § 17-4-123 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-124 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-125 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-126 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-127 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-128 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-129 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-130 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-131 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, §
W.S. § 17-4-132 Repealed and Recreated by Laws 2016, ch
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Repealed and Recreated by Laws 2016, ch. 22, § 1. 1. 1. 1. 3. 1. 1. 1. 1. 1. 1. 1. 1. 1.
W.S. § 17-4-201 Exempt securities
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Exempt securities. (a) The following securities are exempt from the requirements of W.S. 17-4-301 through 17-4-306 and 17-4-504: (i) A security, including a revenue obligation or a separate security as defined in rule 131 (17 C.F.R. 230.131) adopted under the Securities Act of 19…
W.S. § 17-4-202 Exempt transactions
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Exempt transactions. (a) The following transactions are exempt from the requirements of W.S. 17-4-301 through 17-4-306 and 17-4-504: (i) An isolated nonissuer transaction, whether effected by or through a broker-dealer or not; (ii) A nonissuer transaction by or through a broker-d…
W.S. § 17-4-203 Intrastate crowdfunding exemption
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Intrastate crowdfunding exemption. (a) Except as otherwise provided in this act, an offer or sale of a security by an issuer is exempt from the requirements of W.S. 17-4-301 through 17-4-306 and 17-4-504 if the offer or sale meets all of the following requirements: (i) The issuer…
W.S. § 17-4-204 Additional exemptions and waivers
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Additional exemptions and waivers. A rule adopted or order issued under this act may exempt a security, transaction, or offer; a rule under this act may exempt a class of securities, transactions, or offers from any or all of the requirements of W.S. 17-4-301 through 17-4-306 and…
W.S. § 17-4-205 Denial, suspension, revocation, condition, or limitation of exemptions
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Denial, suspension, revocation, condition, or limitation of exemptions. (a) Except with respect to a federal covered security or a transaction involving a federal covered security, an order under this act may deny, suspend application of, condition, limit, or revoke an exemption …
W.S. § 17-4-206 Repealed by Laws 2019, ch
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Repealed by Laws 2019, ch. 170, § 4.
W.S. § 17-4-301 Securities registration requirement
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Securities registration requirement. (a) It is unlawful for a person to offer or sell a security in this state unless: (i) The security is a federal covered security; (ii) The security, transaction, or offer is exempted from registration under W.S. 17-4-201 through 17-4-204; or (…
W.S. § 17-4-302 The security is registered under this act
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The security is registered under this act. Notice filing. (a) With respect to a federal covered security, as defined in section 18(b)(2) of the Securities Act of 1933 (15 U.S.C. § 77r(b)(2)), that is not otherwise exempt under W.S. 17-4-201 through 17-4-204, a rule adopted or ord…
W.S. § 17-4-303 Securities registration by coordination
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Securities registration by coordination. (a) A security for which a registration statement has been filed under the Securities Act of 1933 in connection with the same offering may be registered by coordination under this section. (b) A registration statement and accompanying reco…
W.S. § 17-4-304 Securities registration by qualification
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Securities registration by qualification. (a) A security may be registered by qualification under this section. (b) A registration statement under this section must contain the information or records specified in W.S. 17-4-305, a consent to service of process complying with W.S. …
W.S. § 17-4-305 Securities registration filings
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Securities registration filings. (a) A registration statement may be filed by the issuer, a person on whose behalf the offering is to be made, or a broker-dealer registered under this act. (b) A person filing a registration statement shall pay a filing fee of one-fiftieth of one …
W.S. § 17-4-306 registration
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registration. Denial, suspension, and revocation of securities (a) The secretary of state may issue a stop order denying effectiveness to, or suspending or revoking the effectiveness of, a registration statement if the secretary of state finds that the order is in the public inte…
W.S. § 17-4-307 Waiver and modification
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Waiver and modification. The secretary of state may waive or modify, in whole or in part, any or all of the requirements of W.S. 17-4-302, 17-4-303, and 17-4-304(b) or the requirement of any information or record in a registration statement or in a periodic report filed pursuant …
W.S. § 17-4-401 exemptions
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exemptions. Broker-dealers registration requirement and (a) It is unlawful for a person to transact business in this state as a broker-dealer unless the person is registered under this act as a broker-dealer or is exempt from registration as a broker-dealer under subsection (b) o…
W.S. § 17-4-402 Agent registration requirement and exemptions
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Agent registration requirement and exemptions. (a) It is unlawful for an individual to transact business in this state as an agent unless the individual is registered under this act as an agent or is exempt from registration as an agent under subsection (b) of this section. (b) T…
W.S. § 17-4-403 Investment adviser registration requirement
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Investment adviser registration requirement. (a) It is unlawful for a person to transact business in this state as an investment adviser unless the person is registered under this act as an investment adviser or is exempt from registration as an investment adviser under subsectio…
W.S. § 17-4-404 Investment adviser representative registration requirement and exemptions
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Investment adviser representative registration requirement and exemptions. (a) It is unlawful for an individual to transact business in this state as an investment adviser representative unless the individual is registered under this act as an investment adviser representative or…
W.S. § 17-4-405 requirement
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requirement. Federal covered investment adviser notice filing (a) Except with respect to a federal covered investment adviser described in subsection (b) of this section, it is unlawful for a federal covered investment adviser to transact business in this state as a federal cover…
W.S. § 17-4-406 Registration by broker-dealer, agent, investment adviser, and investment adviser representative
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Registration by broker-dealer, agent, investment adviser, and investment adviser representative. (a) A person shall register as a broker-dealer, agent, investment adviser, or investment adviser representative by filing an application and a consent to service of process complying …
W.S. § 17-4-407 Succession and change in registration of broker-dealer or investment adviser
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Succession and change in registration of broker-dealer or investment adviser. (a) A broker-dealer or investment adviser may succeed to the current registration of another broker-dealer or investment adviser or a notice filing of a federal covered investment adviser, and a federal…
W.S. § 17-4-408 Termination of employment or association of agent and investment adviser representative and transfer of employment or association
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Termination of employment or association of agent and investment adviser representative and transfer of employment or association. (a) If an agent registered under this act terminates employment by or association with a broker-dealer or issuer, or if an investment adviser represe…
W.S. § 17-4-409 Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative
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Withdrawal of registration of broker-dealer, agent, investment adviser, and investment adviser representative. Withdrawal of registration by a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective sixty (60) days after the filing of the …
W.S. § 17-4-410 Filing fees
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Filing fees. (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 brokerdealer. If the filing result…
W.S. § 17-4-411 Post registration requirements
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Post registration requirements. (a) Subject to section 15(h) of the Securities Exchange Act of 1934 (15 U.S.C. § 78o(h)) or section 222 of the Investment Advisers Act of 1940 (15 U.S.C. § 80b-22), a rule adopted or order issued under this act may establish minimum financial requi…
W.S. § 17-4-412 Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration
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Denial, revocation, suspension, withdrawal, restriction, condition, or limitation of registration. (a) If the secretary of state finds that the order is in the public interest and subsection (d) of this section authorizes the action, an order issued under this act may deny an app…
W.S. § 17-4-501 General fraud
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General fraud. (a) It is unlawful for a person, in connection with the offer, sale, or purchase of a security, directly or indirectly: (i) To employ a device, scheme, or artifice to defraud; (ii) To make an untrue statement of a material fact or to omit to state a material fact n…
W.S. § 17-4-502 advice
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advice. Prohibited conduct in providing investment (a) It is unlawful for a person that advises others for compensation, either directly or indirectly or through publications or writings, as to the value of securities or the advisability of investing in, purchasing, or selling se…
W.S. § 17-4-503 Evidentiary burden
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Evidentiary burden. (a) In a civil action or administrative proceeding under this act, a person claiming an exemption, exception, preemption, or exclusion has the burden to prove the applicability of the claim. (b) In a criminal proceeding under this act, a person claiming an exe…