What Advisers Need to Know About Wyoming’s New Investment Adviser Regulations

On July 1, 2017, the State of Wyoming’s new regulations became effective, which require certain investment advisers (“IAs) and investment adviser representatives (“IARs”) to register with the State in order to provide investment advice in Wyoming. [1]

This month’s Risk Management Update provides an outline of the new requirements for both IAs and IARs, including information on steps to take for obtaining such registration.

To read more, click here.





[1] See http://soswy.state.wy.us/Investing/InvestmentAdvisers.aspx.

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