Wyoming Secretary of State


Compliance

Welcome to the Wyoming Secretary of State's Compliance Division. The Compliance Division oversees Wyoming's securities industry as well as the activities of commercial registered agents. This Division is responsible for registering securities (investments) offered or sold in Wyoming, registering and overseeing the firms and individuals working for those firms that sell securities. In addition to its regulatory function, the Division has authority to investigate violations of the securities act or the registered agent act and has jurisdiction over fraudulent activities in these areas. To further protect Wyomingites, this Division has enforcement authority to file administrative actions and to refer criminal matters to local, state or federal authorities.

What's New

New Legislation


Effective January 1, 2009 any registered agent who represents 11 or more entities will be required to file with the Compliance Division as a Commercial Registered Agent. Continue...

Auction Rate Securities


The Compliance Division has recently been contacted by residents whose investments have become frozen in Auction Rate Securities. Continue...


How To File A Complaint


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