Wyoming Secretary of State

Compliance

Duties of the Compliance Division

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 along with 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...

Buyer Beware

During times of economic downturn be cautious of investment scams and fraudulent activity. If you receive a call or personal sales pitch from someone you don't know wanting you to invest with them, check it out first!

Before you part with your hard earned money, call us first for verification of proper registration.

Remember, if an investment opportunity sounds too good to be true, it usually is.