Enforcement
Summary
The Secretary of State is granted authority to investigate any violation or potential violation of Wyoming's Uniform Securities Act.
The Uniform Securities Act provides the Secretary of State authority to bring administrative actions against the registrations of persons who violate provisions of the law. Such actions may be taken under
W.S. 17-4-106, W.S. 17-4-112, and W.S. 17-4-114. Administrative actions are commenced according to the provisions of Wyoming's Administrative Procedure Act.
W.S. 16-3-101 et seq. and the provisions found in
Wyoming Securities Rule, Chapter 8, regarding orders, contests and hearings.
The Secretary of State may also refer evidence of criminal wrong-doing to the Attorney General or to county attorneys who may institute the appropriate criminal proceedings under this act.
The following are alerts about matters the Secretary of State has concerns with and wishes to provide warnings to investors. The text of administrative orders in enforcement actions are listed below to provide the public with official records of actions taken against persons in the securities industry.
Administrative Procedures:
Petitions, Orders and Stipulations
Archived Orders