Wyo. Code R. 002 | Wyoming Administrative Rules 002 — Secretary of State

227 Article 9 Secured Transactions

Chapter 1 Uniform Commercial Code (UCC) Transactions

Wyo. Code R. 002.0001.1.08112021 § 1 Statement of Purpose

These rules are adopted to promote the uniform administration of Article 9 of the Uniform Commercial Code (UCC) as authorized in W.S. 34.1-9- 526.

History

Effective 2021-08-11

Wyo. Code R. 002.0001.1.08112021 § 2 General Provisions

(a) Definitions.

(i) "Amendment" means a UCC record that amends the information contained in a financing statement. Amendments include assignments, continuations and terminations.

(ii) "Assignment" is an amendment that assigns all or a part of a secured party's power to authorize an amendment to a financing statement.

(iii) "Correction statement" means a UCC record, filed before July 1, 2013, that indicates that a financing statement is inaccurate or wrongfully filed.

(iv) "Individual debtor name" means a human being, or a decedent in the case of a debtor that is a decedent's estate.

(v) "Information statement" means a UCC record, filed on or after July 1, 2013, that indicates that a financing statement is inaccurate or wrongfully filed.

(vi) "Initial financing statement" means a UCC record containing the information required to be in an initial financing statement and that causes the filing office to establish the initial record of existence of a financing statement.

(vii) "Internet Filing Service" or "UCC E-Filing System" means an on-line filing service administered by the Secretary of State's Office that provides authorized users with the capability to file all UCC records immediately and conduct searches that provide immediate results.

(viii) "Organization debtor name" means a legal business entity who is not an individual.

(ix) "Remitter" means an individual or registered organization that tenders a UCC record to the filing officer for filing, whether the remitter is a filer or an agent of a filer responsible for tendering the record for filing. "Remitter" does not include an individual or registered organization responsible merely for the delivery of the record to the filing office, such as the postal service or a courier service, but does include a service provider who acts as a filer's representative in the filing process.

(x) "UCC1" means the form used for a new initial financing statement.

(xi) "UCC3" means the form used for a UCC amendment filing, which includes the following actions:

(A) Assignment: Full or Partial;

(B) Collateral: Add, Restate, or Delete;

(D) Debtor: Add, Change, or Delete;

(E) Information Statement (formerly known as correction statement);

(F) Secured Party: Add, Change, or Delete; and

(G) Termination Statement.

(xii) "UCC5" means the form used for a UCC information statement filing.

(xiii) "UCC record" means an initial financing statement, an amendment, an assignment, a continuation, a termination or a correction statement.

(b) Paper Filing Fees.

(i) There is no fee for filing a termination statement.

(ii) The fee is $30 for filing an initial financing statement. The fee is $60 if there are more than two (2) pages.

(iii) Except for a continuation, the fee is $15 for filing any amendment on paper which contains up to two (2) pages.

(A) If there are more than two (2) pages, the fee is $30.

(B) The remitter may file multiple UCC3 amendments to the same initial financing statement for one fee. For example, the following combinations of amendments, or portions thereof, may be made for one fee of $15:

(I) Debtor and collateral amendments; or

(II) Secured party and collateral amendments.

(iv) The fee is $30 for filing a continuation statement.

(v) The fee is $10 per debtor name for a certified UCC search.

(vi) The fee is 50 cents per page for a copy of a UCC record.

(i) There is no fee for filing a termination statement.

(ii) The fee is $15 for an initial financing statement.

(iii) Except for a continuation, the fee is $7.50 for filing any amendment

electronically.

(A) The remitter may file multiple UCC3 amendments to the same initial financing statement for one fee. For example, the following combinations of amendments, or portions thereof, may be made for one fee of $7.50:

(I) Debtor and collateral amendments; or

(II) Secured party and collateral amendments.

(iv) Continuation and information statements (correction statements) must be filed separately.

(v) The fee is $15 for filing a continuation statement.

(vi) There is no fee for a certified UCC search.

(vii) The fee is $300.00 annually for the Internet Filing Service (up to ten (10) users).

(viii) The fee is $2,000 annually for the Internet Download Service (up to two (2) users).

(d) Use of Forms.

(i) Acceptable forms are prescribed by the International Association of Commercial Administrators (IACA) forms which are available through the Forms section of the Wyoming Secretary of State's website at http://sos.wyo.gov

History

Effective 2021-08-11

Wyo. Code R. 002.0001.1.08112021 § 3 Acceptance and Refusal of UCC Records

(a) Duty to File.

(i) The duties and responsibilities of the filing officer with respect to the administration of the UCC are ministerial and the filing office bears no responsibility for the legal effectiveness of a filing. In accepting for filing or refusing to file a UCC record pursuant to these rules, the filing officer does none of the following:

(A) Determine the legal sufficiency or insufficiency of a UCC record.

(B) Determine that a security interest in collateral exists or does not exist.

(D) Create a presumption that information in the document is correct or incorrect, in whole or in part.

(ii) If a remitter demonstrates to the satisfaction of the filing officer that a UCC record that was refused for filing should have been filed, the filing officer will file it and the effective date and time of filing shall be the date and time the UCC record was originally tendered for filing.

(iii) If the filing officer finds grounds to refuse a UCC record, the filing officer shall return the UCC record and communicate in writing, whether via hard copy or email correspondence, the reasons for the rejection and the filing officer shall return or refund the filing fee.

History

Effective 2021-08-11

Wyo. Code R. 002.0001.1.08112021 § 4 Filing Procedures

(a) Filing and Data Entry Procedures.

(i) When entering information into the UCC system from paper UCC records, the debtor and/or secured party name(s) shall be entered exactly as set forth on the filing form even if it appears that the name of an individual debtor has been placed in the field designated for an organization debtor name, and vice versa.

(b) UCC Records Tendered for Filing.

(i) The time of filing for a UCC record filed electronically through on-line entry is the date and time the Wyoming UCC E-System accepts the filing.

(ii) For all UCC records delivered to the filing office:

(A) The time of filing shall be the date and time the UCC record is entered and accepted by the Wyoming UCC E-Filing System, which in no event shall be later than two (2) business days after the filing office receives the record. No priority is given to UCC records received in the filing office.

(B) The email address associated with the filer of an initial financing statement or amendment may be provided on each filing to allow for the electronic transmittal of confirmation of filing for each paper filing filed by the filing office.

History

Effective 2021-08-11

Wyo. Code R. 002.0001.1.08112021 § 5 Search Requests and Reports

(a) General Requirements.

(i) The filing officer maintains a searchable index for all UCC records. The index shall provide for the retrieval of a record by the name of the debtor and by the file number of the initial financing statement and each filed UCC record relating to the initial financing statement.

(ii) Search requests presented to the Secretary of State's Office shall be in written form which includes hard copy or electronic.

(iii) Search requests shall contain the full name of the debtor to be searched and the request must specify whether the debtor is an individual debtor name or an organization debtor name.

(b) Rules Applied to Certified Search Requests.

(i) Certified search results are produced by the application of standardized search logic. Human judgment does not play a role in determining the results of the search. The following logic apply to certified searches:

(A) There is no limit to the number of matches that may be returned in response to the search criteria.

(B) No distinction is made between upper and lower case letters.

(D) Words and abbreviations at the end of a name that indicate the existence or nature of an organization as set forth in the ending noise words list are disregarded. The ending noise words list may be found on the Secretary of State's website at https://ucc.wyo.gov.

(E) The word "the" at the beginning of the search criteria is

disregarded.

(F) All spaces are disregarded.

(G) For first and middle names of individuals, initials are treated as the logical equivalent of all names that begin with such initials

(I) Example: a search request for John A. Smith would cause the search to retrieve all filings against all individual debtor names with "John" as the first name, "Smith" as the last name, and the initial "A" or any name beginning with "A" in the middle name field.

(II) Example: a search request for J. A. Smith would cause the search to retrieve all filings against all individual debtor names with the initial "J"" as the first name or any first name beginning with "J;" "Smith" as the last name; and the initial "A" or any name beginning with "A" in the middle name field.

(H) First name and no middle name or initial is equated with all middle

names and initials.

(I) Example: a search request for "John Smith" (first and last names with no designation in the middle name field) would cause the search to retrieve all filings against individual debtor names with "John" as the first name; "Smith" as the last name and with any name or initial or no name or initial in the middle name field.

(i) Results of certified search requests shall include:

(A) The certification of the filing office;

(B) Identification of the filing officer;

(D) The date and time the report was generated;

(E) Identification of the name searched;

(F) The certification date and time for which the search is effective;

(G) Identification of each unlapsed initial financing statement filed on or prior to the certification date and time corresponding to the search criteria; and

(H) If requested, copies of all UCC records revealed by the search.

History

Effective 2021-08-11

417 Bucking Horse and Rider

Chapter 1 Bucking Horse and Rider

Wyo. Code R. 002.0025.1.03082023 § 1 Authority

The Secretary of State has authority to promulgate rules regulating the licensing and use of the Bucking Horse and Rider under W.S. 8-3-117(a).

History

Effective 2023-03-08

Wyo. Code R. 002.0025.1.03082023 § 2 Definitions

(a) "Commercial" means any person or entity creating merchandise for sale or distribution resulting in a retail exchange of goods.

(b) "Counterfeit" means unauthorized use and/or reproduction of the mark.

(c) "Derivative" means a modification of the Bucking Horse and Rider Trademark where elements are modified or changed and/or where an element of the design, either the bucking horse or the rider, is used alone or in conjunction with another design element.

(d) "Infringement" means the unauthorized use of the Bucking Horse and Rider on, or in connection with, goods and/or services in a manner that is likely to cause confusion, deception, or mistake about the source of the goods and/or services.

(d) "Mark" means the Bucking Horse and Rider trademark as illustrated below, with or without the trademark symbol, as registered with the United States Patent and Trademark Office. The mark consists of two distinct design elements, the bucking horse and the rider.

(e) "Non-Commercial" means using the mark on signage, websites, letterhead, envelopes, business cards, social media or similar use that does not result in a retail exchange of goods. This type of use is also known as "organizational use."

(f) "State of Wyoming" means Wyoming government including the executive, legislative and judicial branches of government, the University of Wyoming and any department, division, agency, board, commission or other instrumentalities of those branches.

(g) "Local Government" means any county or municipality located in the State of Wyoming.

History

Effective 2023-03-08

Wyo. Code R. 002.0025.1.03082023 § 3 Protection Through Licensure

(a) The mark is protected through licensing agreements for its use. Licensing agreements shall be in place for all use whether Organizational Use or Product Licensing Use as described below. Licensing information and forms may be obtained through https://gowyo.com/feature/Trademark.

(i) Organizational Licensing Use: Any active registered business entity or tradename with a physical presence in the State of Wyoming may, through an Organizational Use Licensing Agreement, use the mark in a non-commercial manner. Entities are permitted limited, non-exclusive access to the mark to show their connection with the State of Wyoming and its history and tradition.

(A) Use of this nature also, in some instances, means that the mark has been incorporated into a logo or design element. No entity subject to an organizational license shall file a state or federal trademark that incorporates the mark as a part of the design under Section 5(a)(i).

(B) If an entity subject to an organizational license purchases promotional products, signs, letterhead, etc. that displays the mark, for non-commercial use, it may do so as long as the products are obtained from vendors subject to a product license as described in paragraph (a)(ii) of this section.

(ii) Product Licensing Use: Any person or entity procuring or creating products may use the mark through a product licensing agreement.

(iii) The State of Wyoming and local governments may use the mark in a non-commercial, non-sponsorship manner without licensure. Any such use requires approval by the Secretary of State under W.S. 8-3-117(a).

(A) State of Wyoming and local government use shall comply with the Bucking Horse and Rider Standards Manual; the University of Wyoming shall comply with the UW Brand Standards Manual.

(B) All products obtained for this type of use shall be obtained from commercially licensed vendors.

(C) Commercial use of the mark by these entities requires licensure via a Product Licensing Use agreement and are subject to royalties. Failure to obtain a Product Licensing Use agreement shall subject the entity to Section 6, Enforcement Action.

(b) Licensing agreements are not transferable and are time limited.

History

Effective 2023-03-08

Wyo. Code R. 002.0025.1.03082023 § 4 Prohibited Uses

(a) The use of the mark is prohibited in:

(i) Political campaigns;

(ii) Wording that implies or declares endorsement by the State of Wyoming; and/or

(iii) Defamation of a person, entity, product, service or property.

History

Effective 2023-03-08

Wyo. Code R. 002.0025.1.03082023 § 5 Infringement

(a) No person or entity may:

(i) Register a trademark that includes the mark, in whole or in part, at either the State or Federal filing office per W.S. 40-1-102(a)(vi).

(ii) Create a derivative mark that would cause dilution. Examples of a derivative mark include, but are not limited to:

(A) A mark that contains solely the bucking horse or solely the rider;

(B) A mark that consists of the identical BH&R plus the addition of any features;

(D) A mark that contains a majority of the BH&R but the orientation or an element of the rider, the horse's mane or tail, or the horse's legs are different.

(b) The exception to this provision is the licensing agreements that are in place prior to the effective date of these rules and which incorporate a derivative mark. Use of that derivative mark may continue in the manner in which it was originally approved until there is a lapse in the licensing agreement at which point the derivative mark shall not be approved for further use.

History

Effective 2023-03-08

Wyo. Code R. 002.0025.1.03082023 § 6 Enforcement Action

Infringement on the mark is subject to all available legal remedies.

History

Effective 2023-03-08

Wyo. Code R. 002.0025.1.03082023 § 7 Sponsorship

(a) The State of Wyoming, Secretary of State's Office has the sole authority to enter into sponsorship activities with the mark.

(b) The exception is for those contracts/agreements that are in place as of the effective date of these rules. Those contracts/agreements shall remain in effect with no additional memorandum required. Any amendments or extensions of agreements will require a Memorandum of Understanding with the State of Wyoming, Secretary of State's Office.

History

Effective 2023-03-08

390 Business Entities

Chapter 1 General Provisions

Wyo. Code R. 002.0024.1.08092021 § 1 Authority and Purpose

The secretary of state is adopting these rules to promote uniform administration of Wyoming Statutes as they pertain to business entity filings. The secretary of state is authorized to promulgate rules pursuant to:

(a) W.S. 17-16-122 and W.S. 17-16-130: Wyoming Business Corporation Act;

(b) W.S. 17-29-210(iv) and W.S. 17-29-1102: Wyoming Limited Liability Company

Act;

(d) W.S. 17-10-203: Wyoming Processing Cooperative Law;

(e) W.S. 17-23-117: Wyoming Statutory Trust Act;

(f) W.S. 17-14-210: Uniform Limited Partnership Act;

(g) W.S. 17-30-106: Wyoming Statutory Foundation Act; and

(h) W.S. 17-21-108: Uniform Partnership Act.

History

Effective 2021-08-09

Wyo. Code R. 002.0024.1.08092021 § 2 Definitions

(a) "Authorized" is defined as being officially registered with the secretary of state.

(b) "Deceptively Similar" means a proposed business name, trade name, trademark or service mark which is similar in appearance to, similar in sound to, or most pertinent words are the same as, an authorized trademark, trade name or service mark.

(d) "Fifteen days" means fifteen (15) business days.

(e) "Five days" means five (5) business days.

(f) "Forty-five days" means forty-five (45) calendar days.

(g) "Mailbox location" means any place used primarily to receive, store or forward mail, such as a post office box location or a private business with similar function.

(h) "Principal address," "principal business address," and "principal office address" means the primary location where business activities are performed and business records are kept, and is not a mailbox location.

(i) "Ten days" means ten (10) business days.

(j) "Twenty days" means twenty (20) calendar days.

(k) "Sixty days" means sixty (60) calendar days.

(l) "Written notice" means delivery by standard United States mail unless otherwise noted in the same statute or rules. The secretary of state may send notice by a more expedited or secure method such as priority mail, certified mail, express delivery service, or email.

History

Effective 2021-08-09

Wyo. Code R. 002.0024.1.08092021 § 3 Filing Requirements

(a) Domestic and foreign business entities shall be in active status and in good standing before statutorily authorized amendments, dissolutions, mergers, withdrawals, and transfers can be filed by the secretary of state.

(b) The document shall be in the English language. The business name need not be in English if it is written in English alphanumeric characters and punctuation, Arabic or Roman numerals.

(i) The fee for the document was paid by an instrument or credit card payment that was dishonored when presented to the state for payment; and

(ii) The business entity fails to pay the fee, plus any additional processing charge authorized by law within ten (10) days of notice.

History

Effective 2021-08-09

Wyo. Code R. 002.0024.1.08092021 § 4 Filing Fees Not Established in Statute

(a) Wyoming Business Corporation Act, W.S. 17-16-101 through 17-16-1803:

All Other Amendments $60.00

Certificates of Existence/Evidence/Good Standing $20.00

Reinstatement for Tax $100.00

Reserved Name/Transfer of Reserved Name $60.00

(b) Wyoming Limited Liability Company Act, W.S. 17-29-210:

Articles of Domestication/Articles of Continuance $100.00

Certificates of Existence/Evidence/Good Standing $20.00

Reinstatement Fee $100.00

Reserved Name/Transfer of Reserved Name $60.00

All Other Amendments $60.00

All Other Amendments $25.00

Certificates of Existence/Evidence/Good Standing $20.00

Reinstatement for Tax $25.00

Reserved Name/Transfer of Reserved Name $25.00

(d) Wyoming Processing Cooperative Law, W.S. 17-10-203:

Articles of Organization $100.00

Certificate of Authority $150.00

Certificates of Existence/Evidence/Good Standing $20.00

Reinstatement for Tax $100.00

Reinstatement for Registered Agent Plus Penalty $200.00

All Other Amendments $60.00

NOTE: Annual license tax is prescribed by W.S. 17-16-1630.

(e) Wyoming Statutory Trust Act, W.S. 17-23-101 through 17-23-302:

Certificate of Trust/Continuance of Foreign Statutory Trust $100.00

Certificate of Authority $150.00

Certificates of Existence/Evidence/Good Standing $20.00

All Other Amendments $60.00

Reserved Name/Transfer of Reserved Name $60.00

Reinstatement Fee $100.00

(f) Uniform Limited Partnership Act, W.S. 17-14-905

Restated Articles/Amended Articles $60.00

Statement of Merger $60.00

Reinstatement Fee $100.00

(g) Wyoming Statutory Foundation Act, W.S. 17-30-704

Cancellation/Correction/Transfer $60.00

Reinstatement Fee $100.00

(h) Uniform Partnership Act (Registered Limited Liability Partnerships), W.S. 17-21-1101

Statement of Continuance $100.00

All Other Amendments $60.00

Reinstatement Fee $100.00

History

Effective 2021-08-09

Wyo. Code R. 002.0024.1.08092021 § 5 Courtesy Notice to Business Entities Not Registered

Whenever the secretary of state is notified that a business entity, whether domestic or foreign, is transacting business without appropriate registration, the secretary of state shall take action to determine how long the company has been doing business without appropriate registration. Notice shall be sent to the business entity as to taxes, fees, interest and penalties due based on this determination. If the business entity disagrees, it must notify the secretary of state within ten

(10) days advising why the taxes, fees, interest and penalties are not due. The secretary of state shall then make a final ruling. Any final decision may be appealed to the appropriate district court pursuant to the Wyoming Administrative Procedure Act. If the procedure in this Section is invoked, the thirty (30) day appeal time provided in Rule 12.04 of the Wyoming Rules of Appellate Procedure and the judicial review addressed in W.S. 16-3-114, does not begin to run until the secretary of state issues a final decision letter.

History

Effective 2021-08-09

Chapter 2 Business Entity Names

Wyo. Code R. 002.0024.2.06272019 § 1 Business Entity Names Restricted Use

(a) A proposed business entity name, whether domestic, foreign or fictitious name, shall not be the same as or deceptively similar to any trade name, trademark or service mark registered in this state and shall be distinguishable upon the records of the secretary of state from other business names as provided in W.S. 17-16-401 and as determined by the secretary of state.

(b) The use of business entity names shall be restricted in the following manner:

(i) No person or entity shall incorporate under a name using any of the terms "bank," "banker," "bancorp," "bancorporation," "banc," "banque," "banquers," "banco," "banca," or similar words, whether in English or a foreign language, until they have fully complied with W.S. 13-1-101 et seq., the banking laws of a United States jurisdiction, the federal Bank Holding Company Act of 1956 (12 U.S.C. § 1841), or the federal Home Owners' Loan Act (12 U.S.C. §§ 1461 et seq.). If good reason is shown for the use of the words "bancorp" or "bancorporation," the secretary of state may, at their discretion allow the use of the word(s), e.g., subsidiaries using parent company's name and parent company is regulated.

(ii) The secretary of state shall not register a business entity name including the term "trust" until notifying the Department of Audit and receiving written confirmation that the business entity is a financial institution and has complied with Title 13 of the Wyoming Statutes. Any statutory trust name in which the word "statutory" does not immediately precede the word "trust" will be rejected by the secretary of state. A statutory trust name need not include the words "statutory trust."

(iii) The secretary of state shall not register a business entity name which implies it is a degree granting institution of higher learning until verifying that it is licensed by the Department of Education. If the Department of Education requires licensing and the business entity is not licensed, then the secretary of state shall refuse to file the documents until licensing is completed.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.2.06272019 § 2 Name Availability for Revocation of Dissolution

For profit and nonprofit entities only and as per W.S. 17-16-1404, the secretary of state shall file Articles of Revocation of Dissolution unless the corporation's name becomes unavailable during the statutorily allotted time of one hundred-twenty (120) days. Corporations may list an alternative name to use in the event of name unavailability in Articles of Revocation of Dissolution. If the name is unavailable and no alternative name is provided, the Secretary of State shall give written notice to the dissolved corporation of the rejection of the filing.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.2.06272019 § 3 Procedure If Filing Is Rejected

(a) If a filing officer rejects a proposed business entity name because it is the same as, or deceptively similar to a currently authorized trademark or service mark on file or not distinguishable upon the records of the secretary of state from a trade name on file, the proposed user may show proof that the user is the owner of that trademark, service mark or trade name and that the user proposes to use that mark or that trade name as the name of the business entity.

(b) If a filing officer rejects a proposed business entity name or an application for reservation of a business entity name because it is the same as, or deceptively similar to any trademark or service mark currently authorized or not distinguishable upon the records of the secretary of state from another business entity name currently authorized, the filing officer shall notify the applicant within fifteen (15) days after the filing is delivered, that the filing is rejected with a brief, written explanation of the reason.

(c) Within five (5) days of delivery of notice of rejection, the applicant may appeal the decision to the secretary of state. Such a request must be in writing and should include information as to why the appeal should be granted. Within five (5) days after delivery of the appeal request, the secretary of state shall notify the business entity which holds the currently authorized name that an appeal has been filed. The authorized business entity shall be notified that it may present information as to why the appeal should/should not be granted. If the authorized business entity chooses to provide information, it shall do so within five (5) days of delivery of notice of the appeal request.

(d) Within five (5) days after all information is to be submitted, the secretary of state shall issue a final decision regarding the appeal. All parties shall be notified of the decision by certified letter.

(e) This procedure shall be informal and shall not be a contested case proceeding. Any final decision may be appealed to the appropriate district court pursuant to the Wyoming Administrative Procedure Act. If the procedure in this Section is invoked, the thirty (30) day appeal time provided in Rule 12.04 of the Wyoming Rules of Appellate Procedure and the judicial review addressed in W.S. 16-3-114, does not begin to run until the secretary of state issues a final decision letter as described in paragraph (d) above.

History

Effective 2019-06-27

Chapter 3 Foreign Business Entities

Wyo. Code R. 002.0024.3.06272019 § 1 Reinstatements

A foreign business entity reinstating after failure to pay the annual fees and/or failure to maintain a registered agent, shall submit a certificate of existence/evidence/good standing dated within sixty (60) days prior to filing in the Secretary of State's Office.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.3.06272019 § 2 Merger

Whenever a foreign business entity authorized to transact business in this state is party to a statutory merger permitted by the laws of the state or country of formation, it shall, within thirty (30) days after a merger becomes effective, file with the secretary of state:

(a) A certificate of evidence dated within sixty (60) days prior to filing in this office; or

(b) A copy of the merger documents, dated within sixty (60) days certified by the official having custody of corporate records in the state or country of formation.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.3.06272019 § 3 Domestication of a Foreign Profit Corporation, Nonprofit Corporation, and Limited Liability Company

(a) The applicant shall provide a certified copy of the business entity's original articles of incorporation/formation and all amendments certified within the last six (6) months by the official having custody of corporate records in the state of formation.

(b) The applicant shall provide a written consent to appointment manually signed by the registered agent.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.3.06272019 § 4 Continuance

(a) The applicant shall provide:

(i) A copy, either hard copy or via email, of the appropriate document from an official of the foreign jurisdiction acknowledging termination of the domicile; or

(ii) A copy of the unfiled appropriate documents which will be submitted to the foreign jurisdiction after the continuance has been processed in Wyoming.

(b) The applicant shall provide a written consent to appointment signed by the registered agent.

(d) The application for continuance shall be accompanied by its original certificate of formation and all amendments to date certified within the last six (6) months by the official having custody of corporate records in the state or country of formation.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.3.06272019 § 5 Consequences of Transacting Business Without Authority

(a) With the exception of nonprofits, any business entity conducting business in Wyoming without a certificate of authority for forty-five (45) days or more is subject to the penalty provided in W.S. 17-16-1502(d).

(b) A business entity subject to the penalty for transacting business without authority under 17-16-1502(d) shall submit past annual reports for every full twelve (12) months the entity transacted business without a certificate of authority in the state.

History

Effective 2019-06-27

Chapter 4 Annual Reports

Wyo. Code R. 002.0024.4.06272019 § 1 Definitions

(a) "Assessed value" is the taxable value of an asset subject to a Wyoming ad valorem tax as defined by W.S. 39-11-101(a)(i) as shown on the annual assessment schedule prepared by the County Assessor. Generally, assets which have an assessed value are reported on line 10 (buildings and other depreciable assets) and line 12 (land) on a corporation's balance sheet.

(b) "Balance sheet value" is the end of tax year value of an asset entered on the company's balance sheet. Balance sheet value shall be reported as contemplated in W.S. 17-16-1630 which states:

(i) "Financial information" in the annual report shall be current as of the end of the corporation's fiscal year immediately preceding the date the annual report is executed on behalf of the corporation.

(c) "Capital, property and assets" does not include the value of the corporation's stock, net worth, or the net equity of the corporation. Capital, property and assets means "total assets" from the company's balance sheet (similar to line 15 of Schedule L of IRS Form 1120 or 1120S, as the form existed at the time these rules became effective) for the year most recently ended with three EXCEPTIONS:

(i) For "Depreciable assets" (line 10) use the assessed value for any asset having an assessed value (buildings or improvements) and use balance sheet value less accumulated depreciation for assets with no assessed value. Depreciation shall not be deducted from "assessed value."

(ii) For "Depletable assets" (line 11) like soda, coal, mineral oil, silver or gold, use the "assessed value" of the gross product from the mine or mining claim (amount shown on Wyoming State Department of Revenue annual gross products tax return), not the balance sheet value.

(iii) For "Land" (line 12) use the assessed value not the balance sheet value.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.4.06272019 § 2 Worksheet Confidentiality

(a) The worksheet which discloses proprietary information is not a public record under the Public Records Act and therefore is not disclosable to the public.

(b) The license tax paid appearing on page one of the secretary of state's annual report form is public record and will be disclosed.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.4.06272019 § 3 Due Dates

(a) Annual reports may only be filed within one hundred-twenty (120) days of the due date.

(b) If a business entity fails to pay its annual report by the due date, it shall be deemed delinquent for a period of sixty (60) days, after which the entity shall be administratively dissolved.

History

Effective 2019-06-27

Wyo. Code R. 002.0024.4.06272019 § 4 Revocation of Exemption from Annual Reports

. When the secretary of state receives notice from the banking commissioner regarding a bank or savings and loan association or from the insurance commissioner regarding an insurance company that the entity is no longer engaged in their respective annual-report exempt business, the secretary of state shall remove the entity's exemption from filing annual reports with the secretary of state under W.S. 17-16-1630 and provide notice to the affected entity.

History

Effective 2019-06-27

Chapter 5 Limited Liability Company - Series

Wyo. Code R. 002.0024.5.08092021 § 1 Authority

These rules are promulgated under Wyoming Statute 17-29-1102 and Section 2 of House Enrolled Act 24 (2018).

History

Effective 2021-08-09

Wyo. Code R. 002.0024.5.08092021 § 2 Series Creation, Naming, and Termination

(a) Creation of Series

(i) The creation of any series pursuant to W.S. 17-29-211 shall be disclosed to the Secretary of State in either the initial articles of organization or an amendment to the articles of organization within thirty (30) days of establishment of the series.

(ii) Any creation of series shall be assessed the prescribed fee for both filing the formation document or amendment to the formation document, whichever is applicable, and the prescribed fee for the establishment of each series pursuant to W.S. 17-29-211(o). The fee prescribed in W.S. 17-29-211(o) shall be charged regardless of any net change in the amount of series established.

(iii) Each series created under W.S. 17-29-211 shall be named in accordance with one of the following conventions:

(A) The full name of the LLC followed by the word "Series" and the numeric designation of the series starting with "1." For example: John Doe LLC would have series named John Doe LLC Series 1, John Doe LLC Series 2, etc; or

(B) The full name of the LLC immediately followed by:

(I) A hyphen (-);

(II) The name of the series which may include unique descriptive

words;

(III) A hyphen (-);

(IV) The word "Series"; and

(V) The numeric designation of the series starting with "1" with each following series sequentially numbered. For example: John Doe LLC would have series named John Doe LLC - Tractor Services - Series 1, John Doe LLC - Farm Equipment - Series 2, etc.

(b) Termination of Series

(i) The termination of any series pursuant to W.S. 17-29-211(k) shall be disclosed to the Secretary of State in an amendment to the articles of organization or certificate of authority within thirty (30) days of the termination of the series.

(ii) If a series is terminated, the numeric designation shall not be used again.

History

Effective 2021-08-09

Wyo. Code R. 002.0024.5.08092021 § 3 Registered Agents

(a) For any LLC with series created under W. S. 17-29-211, a single registered agent shall be appointed for the LLC and all series.

(b) No LLC series created under W.S. 17-29-211 or any other subdivision of a business entity shall serve as a registered agent.

(i) A list of all of the LLC's series;

(ii) The names and addresses of each of the series' members, directors, officers, limited liability company managers, managing partners or persons serving in a similar capacity; and

(iii) The name, physical address and business telephone number of a natural person for each series who is authorized to receive communications from the registered agent.

History

Effective 2021-08-09

Wyo. Code R. 002.0024.5.08092021 § 4 Filing Procedures

(a) Formation of LLC - Election of Series

(i) Domestic

(A) If a domestic LLC intends to be a Series LLC, it shall elect to be either "series" or "series and close" upon formation.

(B) The election shall occur whether the formation occurs online or via paper filing.

(ii) Foreign - If a foreign LLC intends to be a Series LLC, it shall denote "Series" within its application for certificate of authority.

(b) LLC Name Change Amendment - When a Series LLC changes its name, it shall amend its articles of organization or certificate of authority. The amendment shall restate the new name of each series in accordance with Section 2(a)(iii) above.

(c) Change of Designation - A limited liability company formed under W.S. 17-29-101 through 17-29-1102 may change its designation to a series LLC by amending its articles of organization or certificate of authority to:

(i) Include the statement required as per subsection (a) above;

(ii) State the limitations of liabilities as per W.S. 17-29-211(c); and

(iii) Provide the name(s) of each series in a separate article and pay all applicable fees as per Section 2(a) above.

History

Effective 2021-08-09

Wyo. Code R. 002.0024.5.08092021 § 5 Certificates of Good Standing

(a) Certificates of good standing may be issued on the filed limited liability company and an individually named series for a fee of $10.00.

(b) A request for certificates of good standing for multiple named series shall be accompanied by a form as prescribed by the Office and a fee of $10.00 per individually named series.

History

Effective 2021-08-09

228 Central Filing System

Chapter 1 Effective Financing Statement (EFS) Transactions

Wyo. Code R. 002.0002.1.09282018 § 1 Statement of Purpose

These rules are adopted to promote the uniform administration of the Wyoming UCC/EFS/Buyer E-Filing System as authorized in W.S. 34-21-1102 specific to effective financing statements.

History

Effective 2018-09-28

Wyo. Code R. 002.0002.1.09282018 § 2 Paper and Electronic Filing Fees

(a) Initial Filing Fee

(i) For up to two (2) pages, the fee is $20 which includes the initial effective financing statement and a termination statement.

(ii) For more than two (2) pages, the fee is $40 which includes the initial effective financing statement and a termination statement.

(b) Amendments

(i) There is no fee for filing a termination statement.

(ii) For up to two (2) pages, the fee is $15 for filing an amendment, continuation, assignment or partial release.

(iii) For more than two (2) pages, the fee is $30 for filing an amendment, continuation, assignment or partial release.

(iv) The remitter may file multiple EFS3 amendments to the same initial financing statement for one fee. For example, the following combinations of amendments or portions thereof, may be made for one fee of $15:

(A) Debtor and collateral amendments; or

(B) Secured party and collateral amendments.

(i) The fee is $10 per debtor name for an EFS search.

(d) Copies

(i) The fee is fifty (50) cents per page for a copy of an EFS record.

(e) Yearly registration fees

(i) There is no fee to register as a buyer to obtain data on EFS filings related to crops, livestock or both.

History

Effective 2018-09-28

Wyo. Code R. 002.0002.1.09282018 § 3 Cut-off Dates for Effective Financing Statements

(a) The fourth Thursday after 5:00 p.m. of each month shall be the cutoff date.

(b) The date of availability of the reports/data shall be no later than the day following the cutoff date.

(i) Any effective financing statement received before the cut-off date for the current monthly cycle shall be included on the list.

(ii) By providing the ability to generate a current buyer EFS report/data file via the UCC/EFS/Buyer E-Filing System, the buyer is bound to all information on file in the System; not just the information contained on the latest produced statutory monthly list.

History

Effective 2018-09-28

Wyo. Code R. 002.0002.1.09282018 § 4 Buyer Registrations

(i) Buyer registrations are an annual registration in which access is granted by the filing office to the UCC/EFS/Buyer E-Filing system.

(ii) Buyer registrations are required to be renewed annually on or before the expiration date of the previous year's registration.

(iii) Upon registration, a buyer shall have access to the previous month's reports/data.

History

Effective 2018-09-28

Wyo. Code R. 002.0002.1.09282018 § 5 Search Requests

(a) General Requirements.

(i) The filing officer maintains a searchable index for all EFS records. The index shall provide for the retrieval of a record by the name of the debtor and by the file number of the initial financing statement and each filed EFS record relating to the initial financing statement.

(ii) Search requests presented to the Secretary of State's Office shall be in written form which includes hard copy or electronic, or via telephone.

(iii) Search requests shall contain the full name of the debtor to be searched and the request must specify whether the debtor is an individual debtor name or an organization debtor name.

(b) Rules Applied to Certified Search Requests.

(A) There is no limit to the number of matches that may be returned in response to the search criteria.

(B) No distinction is made between upper and lower case letters.

(E) The word "the" at the beginning of the search criteria is disregarded.

(F) All spaces are disregarded.

(G) For first and middle names of individuals, initials are treated as the logical equivalent of all names that begin with such initials.

(H) First name and no middle name or initial is equated with all middle names and initials.

(i) Results of certified search requests shall include:

(A) The certification of the filing office;

(B) Identification of the filing officer;

(D) The date and time the report was generated;

(E) Identification of the name searched;

(F) The certification date and time for which the search is effective;

(G) Identification of each unlapsed initial financing statement filed on or prior to the certification date and time corresponding to the search criteria; and

(H) If requested, copies of all EFS records revealed by the search.

History

Effective 2018-09-28

Wyo. Code R. 002.0002.1.09282018 § 6 Acceptance and Refusal of Documents

(a) Duty to File.

(i) The duties and responsibilities of the filing officer with respect to the administration of the EFS are ministerial and the filing office bears no responsibility for the legal effectiveness of a filing. In accepting for filing or refusing to file an EFS record pursuant to these rules, the filing officer does none of the following:

(A) Determine the legal sufficiency or insufficiency of a document.

(B) Determine that a security interest in collateral exists or does not exist.

(D) Create a presumption that information in the document is correct or incorrect, in whole or in part.

(ii) If a remitter demonstrates to the satisfaction of the filing officer that an EFS record that was refused for filing should have been filed, the filing officer will file it and the effective date and time of filing shall be the date and time the EFS record was originally tendered for filing.

(iii) If the filing officer finds grounds to refuse an EFS document, the filing officer shall return the document and communicate in writing, whether via hard copy or email correspondence, the reasons for the rejection and the filing officer shall return or refund the filing fee.

History

Effective 2018-09-28

Wyo. Code R. 002.0002.1.09282018 § 7 Filing Procedures

(a) Filing and Data Entry Procedures.

(i) When entering information into the EFS system from paper filings, the debtor and/or secured party name(s) shall be entered exactly as set forth on the filing form even if it appears that the name of an individual has been placed in the field designated for an organization, and vice versa.

(b) EFS Records Tendered for Filing.

(i) EFS records may be transmitted electronically through online data entry by authorized users.

(ii) The time of filing for an EFS record filed electronically through on-line entry is the date and time the Wyoming UCC/EFS/Buyer E-Filing System accepts the filing.

(iii) For all EFS records delivered to the filing office:

(A) The time of filing shall be the date and time the document is entered and accepted by the Wyoming UCC/EFS/Buyer E-Filing System, which in no event shall be later than two (2) business days after the filing office receives the record. No priority is given to documents received in the filing office.

(B) The email address associated with the filer of an initial filing or amendment may be provided on each filing form to allow for the electronic transmittal of confirmation of filing for each paper filing filed by the filing office.

History

Effective 2018-09-28

421 Digital Assets

Chapter 1 Digital Asset Registration

Wyo. Code R. 002.0026.1.10262023 Digital Asset Registration

Chapter 1

Digital Asset Registration

Section 1. Authority and Purpose. The Secretary of State is adopting these rules to promote uniform administration of Wyoming Statutes as they pertain to registration of digital assets. The Secretary of State is authorized to promulgate these rules pursuant to W.S. 34-29-209.

Section 2. Definitions.

(a) "Digital Asset Address" means a unique location on a distributed ledger which records control or possession of one or more digital assets. Digital Asset Addresses commonly allow the receipt and sending of digital assets through some combination of transaction signing, propagation, and verification by a Distributed Ledger, typically through the use of Public Key Cryptography.

(b) "Distributed Ledger" (otherwise referred to as "Distributed Ledger Technology") means a system to record ownership and transfer of digital assets through the use of replicated, shared, and synchronized digital data which is spread, or distributed, across a plurality of sites which are usually geographically distinct. The veracity and fidelity of the Distributed Ledger is maintained through the application of a consensus mechanism. A Blockchain is an example of a Distributed Ledger, with Bitcoin (BTC) and Ethereum (ETH) being representative examples of Blockchains.

(c) A "Cryptographic Signature" (otherwise referred to as a "Digital Signature") is the result of a cryptographic algorithm, applied to a Digital Asset, document, or record, which can verify the authenticity, integrity, origin, date, control, and/or other provenance characteristics of the digital document, record, or asset.

(i) A Cryptographic Signature does not verify the accuracy of the contents of the digital asset.

(ii) For the purposes of W.S. § 34-29-202(b), a Cryptographic Signature of a digital asset's registration will be considered associated with that digital asset if that signature pertains to the digital asset and includes, at a minimum, the Digital Asset's identifying information as part of the signature, or is otherwise derived from that Digital Asset.

(d) "Structured String" means a string of human-readable characters in a defined format, such as a JSON string. A single-line JSON structured string shall be a string which complies with the JSON standard, but does not include any newline or carriage-return characters.

(e) "Control" of a digital asset means possession and/or control, and may be demonstrated through the use of a Cryptographic Signature, in which the holder of a Digital Asset Address may provide evidence of an ability to access the private keys which exercise control over the digital asset.

(f) "Technical Standards" to which a digital asset conforms mean the technical rules governing the digital asset. Technical Standards are distinct from the rules of the Distributed Ledger upon which the digital asset exists.

(i) For example, some digital assets may be present on the Ethereum Blockchain, but those assets may be governed by the ERC-721 standard, while other digital assets on the Ethereum Blockchain may be governed by the ERC-20 standard.

(g) "Elected or Adopted Standards" mean additional elements which may be applied to a specific category of digital assets, but which are not otherwise present in the Technical Standards.

(h) "Restrictions on Transferability" mean any regulatory, statutory, legal, contractual, or any other non-technical restrictions (even if such restrictions are technically enforced) on the ability to freely transfer the digital asset from the registrant to any future holder. Restrictions on Transferability may include lis pendens, requirements that a holder be an accredited investor, requirements that the holder execute some ancillary agreements (e.g. an operating agreement), or any other restrictions imposed by a state or federal regulatory entity.

Section 3. Requirements for Registration.

(a) Form of Application.

(i) To be considered valid for filing, all applications for registration of a digital asset pursuant to W.S. § 34-29-201 et seq. shall be electronically submitted to the Secretary of State in digital form.

(b) Applicant.

(i) As specified in W.S. § 34-29-203(d), the applicant shall be either a Wyoming resident (if a natural person) or a Wyoming business entity. If the applicant is a Wyoming business entity, the application shall only be considered valid for filing if that entity is in active and good standing with the Secretary of State.

(i) As authorized by W.S. § 34-29-203(c), the initial filing fee shall be Five Hundred Dollars ($500.00).

(ii) As authorized by W.S. § 34-29-205(a), the filing fee for any renewal period shall be Two Hundred Fifty Dollars ($250.00); and

(iii) As authorized by W.S. § 34-29-207(a)(i), the filing fee to cancel a registration shall be Thirty Dollars ($30.00).

(d) Nature of the digital asset.

(i) For the purposes of W.S. § 34-29-203(a)(ii), the nature of the digital asset shall encompass all relevant attributes related to the underlying Distributed Ledger necessary to access the Digital Asset. This may include, with particularity and to the extent relevant to a particular Digital Asset:

(A) The Digital Ledger upon which the digital asset exists at the time of filing;

(B) The character of the digital asset (e.g. Native Token, NFT, Tokenized Security, Ordinal Inscription, etc.);

(C) The Technical Standards to which the digital asset conforms (e.g. Native Token, ERC-20, ERC-721, ERC-1155, Ordinal Inscription, etc.);

(D) Any elected or adopted standards that may apply to the digital asset; and

(E) Any known Restrictions on Transferability.

(e) Sufficient Information to Identify the digital asset.

(i) As required by W.S. § 34-29-203(a)(ii), sufficient information to identify the digital asset shall be construed to mean information which is typical and customary to identify other assets of the same Nature as the digital asset being registered. The information provided must be sufficient to allow a member of the relevant community to individually locate and verify the digital asset. This may include one or more of the following:

(A) The public identifier which relates directly to the mechanism that is able to sign the message required to generate Cryptographic Proof;

(B) The public key and/or wallet address where the digital asset is located;

(D) A token ID;

(E) The first Transaction Hash where the digital asset was created, and the Transaction Hash which moved the digital asset into the control of the Registrant;

(F) The Digital Contract address used to create, destroy, move, track, or otherwise manipulate the digital asset; and

(G) Any additional metadata attached to the digital asset.

(f) Cryptographic Proof.

(i) For the purposes of W.S. § 34-29-203(a), cryptographic proof shall include a Cryptographic Signature of a message provided by the Secretary of State or his designee using the digital asset itself or the digital asset Address holding the digital asset, in a manner that is customary for similarly situated digital assets of the same Nature as the digital asset being registered. This message shall be a single-line JSON structured string which will also be included in the filing system, allowing the digital asset's registration to be verified in the future. The information provided by the Secretary of State shall contain, at a minimum, the following:

(A) The date/time stamp corresponding to the filing of the application, in ISO-8601 format UTC time; and

(B) The registration certificate's unique ID;

(g) Rejection of Application.

(i) If the Secretary of State finds that the application does not meet the registration requirements, pursuant to W.S. 34-29-204(a)(iii), the applicant shall have a period of ten (10) business days to reply with corrections and/or amend the application.

History

Effective 2023-10-26

231 Election Procedures

Chapter 1 State-Based Administrative Complaint Procedures

Wyo. Code R. 002.0005.1.10062004 State-Based Administrative Complaint Procedures

Wyoming Secretary of State Rules for State-Based Administrative Complaint Procedure

CHAPTER 1

Section 1. Authority. These Complaint Procedures are established as required by the Help America Vote Act of 2002 [hereafter referred to as HAVA], P.L. 107-252, Section 402, and W.S. 22-2-121(b) and (d) and in accordance with the Wyoming State Plan created pursuant to HAVA.

Section 2. Purpose. These rules are promulgated to establish State-based uniform, nondiscriminatory administrative complaint procedures under which all complaints alleging violations of Title III of HAVA, Sections 301 through 312, may be promptly and efficiently resolved and all complaints of merit will be appropriately remedied by the State of Wyoming.

Section 3. Applicability.

(a) Any person who believes there is a violation of any provision of Title III of HAVA (including a violation which has occurred, is occurring, or is about to occur) may file a complaint.

(b) These procedures shall apply only to complaints raised under Title III of HAVA.

(c) Other complaints related to the conduct of elections shall be raised with the responsible public official(s), United States or Wyoming prosecutors, the Wyoming Secretary of State, or the Wyoming Attorney General as appropriate under W.S. 22-26-101 through 121; 42 U.S.C. § 1973 et seq.; 42 U.S.C. § 12101 et seq.; 42 U.S.C. § 701; and other applicable laws.

Section 4. Form of Complaint.

(a) The Secretary of State shall establish a Complaint Form to be used, although complaints received in substantially the same form and meeting all the legal requirements of subsection (b) below shall be accepted.

(b) At a minimum, the complaint shall be in writing and notarized, and signed and sworn to by the person making the complaint. The complaint shall also state who is making the complaint, his address and telephone number, the alleged violation(s) of Title III of HAVA, and the facts supporting the allegations.

(c) The complaint may name witnesses to the alleged violation and attach their written statements; may attach documentary evidence supporting the allegations; and may also identify the sections, subsections, and paragraphs of HAVA alleged to have been violated.

Section 5. Place and Method of Filing Complaints. All complaints filed under this chapter shall be filed with the Wyoming Secretary of State, Elections Division, Wyoming State Capitol, 200 West 24th Street, Cheyenne, Wyoming 82002- 0200. Telephonic, electronic, and facsimile complaints will not be accepted under this chapter. There is no fee for filing a complaint.

Section 6. Maintenance and Confidentiality of Official Agency Record.

(a) The Secretary of State shall be the official custodian of the agency record of each complaint.

(b) The record consists of all papers filed by the Complainant; the results of any investigation conducted; submissions made by the election officials in response to the allegations; correspondence between the Complainant or the involved election official(s) and the Secretary of State or his designee; all evidence received; and other documents received or generated by the Secretary of State, his designee, or the hearing officer, concerning the substance and/or procedure applied to resolution of the complaint.

(c) All records are confidential until completion of the informal investigation and entry of decision and order as authorized by Section 10, Administrative Resolution, of this chapter. Thereafter they are public records.

Section 7. Service of Papers on all Parties.

(a) When a complaint alleges violations by a County Clerk or his staff, the designee of the Secretary of State shall promptly transmit a copy of the complaint to the County Clerk and permit him to respond on his own behalf.

(b) A copy of each piece of correspondence between the Complainant or the County Clerk and the Secretary of State, his designee, or the hearing officer, shall be filed with the Secretary of State. Copies of the correspondence and filings shall simultaneously be mailed to the hearing officer, if his identity and address are known, and to the opposing party, if any.

Section 8. Initial Screening.

(a) The complaint shall be screened by a designee of the Secretary of State to determine if it meets the criteria in HAVA and these rules.

(b) If the complaint does not meet the criteria in HAVA and these rules as stated in Section 4(b), it shall be dismissed, although it may also be referred to other appropriate authorities.

(c) If the complaint is dismissed, a designee of the Secretary of State shall send notice of the dismissal and a copy of these rules to the Complainant. The notice shall advise the Complainant that he is not precluded from refiling a complaint which conforms to the legal requirements.

Section 9. Consolidation of Complaints. The designee of the Secretary of State may consolidate complaints and resolve them together as he deems appropriate.

Section 10. Administrative Resolution.

(a) Following the initial screening, complaints shall be resolved informally if possible.

(b) The designee of the Secretary of State shall consider all information filed, and he shall conduct an informal investigation of the complaint as appropriate, including contacting the people alleged to have violated HAVA or alleged to be about to violate HAVA.

(c) Based on the agency record, the designee of the Secretary of State may enter a decision and order, which may include an appropriate remedy. When the decision is that no violation of HAVA, Title III, has or is about to occur, the complaint shall be dismissed and the results of the procedures published on the website of the Secretary of State.

(d) The designee of the Secretary of State shall send the decision and order to the Complainant by appropriate means including proof of delivery to the address provided by the Complainant.

(e) Simultaneously the designee of the Secretary of State shall send a copy of the decision and order to the chief election official, if any, who was alleged, directly or indirectly, to have violated or be about to violate Title III of HAVA.

(f) Along with the decision and order, the designee of the Secretary of State shall notify the Complainant of his right to request a hearing on the record if not satisfied. The request shall be in writing and received within ten (10) calendar days after the Complainant's receipt of the decision and order. Such requests may be submitted by facsimile or e-mail as well.

Section 11. Administrative Hearing.

(a) An informal administrative hearing shall be conducted following timely receipt of a written request for a hearing on the record.

(b) The Secretary of State or his designee shall promptly set the matter for hearing.

(c) The Secretary of State may preside over the hearing or designate a hearing officer to conduct the matter and to prepare a recommended decision and order.

(d) The hearing shall occur within a reasonable period of time but in no case more than eighty (80) calendar days after the initial complaint was filed.

(e) The Wyoming Administrative Procedure Act, the Wyoming Rules of Civil Procedure, the Wyoming Rules of Evidence, and the Wyoming Rules of Appellate Procedure shall not apply to these proceedings.

Section 12. Location and Recording of Administrative Hearing. The hearing shall be conducted at a site convenient to the parties and selected by the Secretary of State or his designee, or it may be conducted by telephone. An audio recording shall be made of the proceedings. If any party prefers to have a court reporter record the proceedings, he may do so at his own expense.

Section 13. Special Accommodations and Persons Present at the Administrative Hearing.

(a) Individuals with disabilities shall inform the Secretary of State or his designee at least five (5) business days before the informal hearing of any special accommodations they require. They may have people assist them and speak for them as desired.

(b) All parties may be accompanied by persons to assist them in their presentations and provide additional factual information.

Section 14. Objectives and Procedure of Administrative Hearing.

(a) The Secretary of State or the hearing officer has considerable discretion in how the hearing is conducted, although the overriding consideration is to provide a speedy, fair, and efficient method by which the parties may be heard and the matter decided in order to support and effectuate the letter and spirit of HAVA.

(i) The Secretary of State or the hearing officer shall introduce the matter on the record and explain the procedures to be followed.

(ii) The Complainant shall then explain his case.

(iii) The County Clerk or other election official, if any, shall then be permitted to explain his view of the case.

(iv) The Complainant shall have the final opportunity to speak.

(b) The Secretary of State or the hearing officer shall have a copy of the agency record of the complaint(s) to be heard.

(d) At the conclusion of the hearing, the Secretary of State or the hearing officer shall take the matter under advisement and promptly prepare or recommend a decision and order for the Secretary of State

Section 15. Final Decision.

(a) The Secretary of State retains authority on behalf of the State of Wyoming to make the final decision in each instance from the initial screening through a hearing on the record.

(b) Upon deciding a meritorious complaint, the Secretary of State shall order an appropriate remedy.

(c) Upon the Secretary of State's entry of the final decision and order into the record, he shall also deliver the decision and order to the Complainant by appropriate means, including proof of delivery, to the address provided by the Complainant and to the other parties, if any.

(d) If the final decision and order result in the dismissal of the complaint, the result of the procedures shall be published on the website of the Secretary of State.

Section 16. Appropriate Remedies.

(a) The Secretary of State has discretion to determine the nature of an appropriate remedy.

(b) An appropriate remedy may detail actions to be taken or procedures to be followed by election officials, and it may include a corrective action plan.

(c) The officials required to take the corrective action shall report to the Secretary of State or his designee the steps taken in accordance with the requirements and schedule provided in the decision and order.

(d) Appropriate remedies are limited to those which are designed to assure compliance with Title III of HAVA. They shall never include an award of monetary damages to a Complainant nor any punitive remedy.

Section 17. Time Allowed for Entire Process.

(a) The State has ninety (90) days within which to make a final determination with respect to a complaint. The period begins with the date of the filing of the complaint.

(b) The time limit may be extended only with consent of the Complainant and all opposing parties, if there are any.

(c) When multiple complaints that have been consolidated, all deadlines in these rules shall be determined by the date the last complaint was filed.

(d) When multiple complaints have been consolidated, an extension of time shall apply only to those Complainants who have consented to the extension of time.

(e) Consent for an extension of time shall be in writing and filed with the Secretary of State before the ninety (90) day period expires.

(f) The Secretary of State or the hearing officer is authorized to grant reasonable extensions of time at the request of the parties as qualified above.

Section 18. Results of Failure to Conclude the Hearing Process within the Time Allowed.

(a) When a complaint has not been finally resolved within the ninety (90) day period, the complaint shall be referred by the Secretary of State to the Wyoming Attorney General or other qualified individual for alternative dispute resolution procedures.

(b) When complaints have been consolidated and some Complainants have not consented to an extension of the ninety (90) day deadline, their complaints shall be subject to separation from the others and treatment under this section.

(c) The person designated to provide the alternate dispute resolution, hereafter referred to as the ADR hearing officer, shall have a copy of the agency record of the proceedings.

(d) With one exception, the ADR hearing officer shall adhere to the Complaint Procedures established in this chapter in resolving the complaint. The exception is that the ADR hearing officer may conduct an administrative hearing in accordance with the hearing procedures of the Wyoming Administrative Procedure Act, W.S. 16-3-107 through 112, with time lines adjusted to fit the time limits below. Conduct of the hearing in accordance with these procedures does not alter the authority of the Secretary of State as the final decision maker.

(e) The ADR hearing officer shall conclude the matter as expeditiously as possible and forward to the Secretary of State his recommended decision and order within the time allowed by the Secretary of State in his designation or appointment of the ADR hearing officer.

(f) The Secretary of State shall enter the final decision and order no later than sixty (60) calendar days after the expiration of the ninety (90) day period.

History

Effective 2004-10-06

Chapter 2 Proof of Identification, Proof of Residence, and Proof of Citizenship for Voter Registration

Wyo. Code R. 002.0005.2.06102026 Proof of Identification, Proof of Residence, and Proof of Citizenship for Voter Registration

Chapter 2

Proof of Identification, Proof of Residence, and Proof of Citizenship for Voter Registration

Section 1. Authority. These rules are authorized by W.S. 22-1-102(a)(xxxix)(A), 22-1-102(a)(lv), and 22-2-121(b) and (d).

Section 2. Voter Registration Application and Oath Form.

(a) The County Clerks shall use the statewide voter registration application form prescribed by the Secretary of State made accessible electronically on the Secretary of State's Office website.

(b) An absent uniformed service or an overseas citizen voter may register by mail or email annually using the Federal Postcard Application in accordance with federal and state law and as prescribed in Chapter 3, Uniformed and Overseas Citizens' Absentee Voting.

Section 3. Verification of Voter Information. The County Clerk shall verify the voter information using the statewide voter registration system.

(a) For persons registering to vote at the polls, they shall be considered registered. If after the election, the voter's information cannot be verified in the statewide voter registration system, their registration shall be pended and investigated by the County Clerk.

(b) If the individual is registering on any day other than election day, they shall be registered if the required information is found to be valid.

Section 4. Documents for Voter Registration. The required documentation for registering to vote in accordance with W.S. 22-3-103 are:

(a) Voter Registration Application Form as prescribed by the Secretary of State;

(b) Acceptable Identification for proof of identity in accordance with Sections 5 and 6 of this chapter;

(c) Proof of Wyoming residence in accordance with Sections 5 and 6 of this chapter or, if a person does not have the documents or other proof of residency specified therein, a signed attestation to establish proof of residence on a form prescribed by the Secretary of State as authorized by W.S. 22-2-121 and in accordance with W.S. 22-1-102(a)(lv); and

(d) Proof of United States citizenship as defined by W.S. 22-1-102(a)(lvi).

Section 5. Definition of "Acceptable Identification" and "Proof of Residence" for Purposes of Voter Registration.

(a) Any one of the following forms of acceptable identification shall accompany the Voter Registration Application Form and shall meet the registration requirements of federal and state law without providing any other form of identification or proof of Wyoming residence, provided that, to establish proof of Wyoming residence, the identification lists a Wyoming address. For purposes of providing proof of Wyoming residence under this Chapter, a Wyoming address includes a Post Office box located in the State of Wyoming, provided the individual registering is still required to list their Wyoming residential address as required on the voter registration application form. If the provided documentation does not list a Wyoming address, the voter shall also supply documentation from Sections 5(b), 5(c), or 6 of this chapter to establish proof of Wyoming residence:

(i) An unexpired, valid Wyoming driver's license;

(ii) An unexpired, valid Wyoming digital driver's license as defined in W.S. 31-7-102(a)(xlix); or

(iii) A tribal identification card issued by the governing body of the Eastern Shoshone tribe of Wyoming, the Northern Arapaho tribe of Wyoming or other federally recognized Indian tribe that contains the applicant's Wyoming driver's license number and/or the last four (4) digits of the applicant's social security number (SSN).

(b) If the applicant does not have the forms of identification, as listed in Section 5(a) of this chapter present at the time of registration, they shall provide on the Voter Registration Application Form their Wyoming driver's license number and any one of the documents listed below. If the applicant does not have a valid Wyoming driver's license, the applicant shall provide on the Voter Registration Application Form the last four numbers of their SSN and any one of the documents listed below. If the applicant does not have a valid Wyoming driver's license or a SSN, the voter shall check the box on the Voter Registration Application Form indicating the same, and provide any one of the following forms of identification. If any of these documents lists a Wyoming address, said documentation shall also constitute proof of Wyoming residence:

(i) Valid United States Passport;

(ii) Unexpired, valid Driver's license or Identification Card issued by the Federal Government, any State, or Outlying Possession of the United States;

(iii) Photo identification card issued by the University of Wyoming, a Wyoming Community College, or a Wyoming public school provided it bears the individual's legal name;

(iv) United States military card;

(v) Identification card issued to a dependent of a member of the United States Armed Forces; or

(vi) A tribal identification card issued by the governing body of the Eastern Shoshone tribe of Wyoming, the Northern Arapaho tribe of Wyoming or other federally recognized Indian tribe.

(c) If the applicant does not have the forms of identification, as listed in Section 5(a) or 5(b) of this chapter present at the time of registration, they shall provide on the Voter Registration Application Form their Wyoming driver's license number and any two of the documents listed below. If the applicant does not have a valid Wyoming driver's license, the applicant shall provide on the Voter Registration Application Form the last four numbers of their SSN and any two of the documents listed below. If the applicant does not have a valid Wyoming driver's license or a SSN, the voter shall check the box on the Voter Registration Application Form indicating the same, and provide any two of the following forms of identification. If any of these documents lists a Wyoming address, said documentation shall also constitute proof of Wyoming residence:

(i) Certificate of United States Citizenship;

(ii) Certificate of Naturalization signed by the naturalized person;

(iii) United States Military Draft Record or Selective Service Card or Record;

(iv) Voter Registration Card from another State or County;

(v) United States Social Security Card;

(vi) Certificate of Birth Abroad issued by the Department of State;

(vii) Original or certified copy of birth certificate bearing an official seal;

(viii) Any other form of identification issued by an official agency of the United States or a State;

(ix) Void Wyoming driver's license or identification card issued by the State of Wyoming; or

(x) Temporary driver's license or identification card issued by the State of Wyoming.

Section 6. Additional documents for "Proof of Residence."

(a) In the event of a challenge, the following documents showing the individual's name and address are acceptable proof of identification and Wyoming residence. If a registrant's identification in Section 5 does not contain a Wyoming address, then the following documents showing the individual's name and a Wyoming address are acceptable identification for proof of Wyoming residence:

(i) The following items must be current and be dated within ninety (90) days from the date of registration:

(A) Utility bill;

(B) Bank statement;

(D) Paycheck or pay stub;

(E) Mortgage statement;

(F) Housing verification form provided by the University of Wyoming, a Wyoming Community College, or a Wyoming public school; or

(G) Any other government document showing their name and address.

(ii) The following items must be dated within one year from the date of registration:

(A) Residential lease;

(B) Contract or intake document from a residential care facility, such as a nursing home, assisted living facility, adult family home, or community-based residential facility;

(D) Wyoming hunting or fishing license;

(E) Wyoming vehicle registration; or

(F) Communication on letterhead from a public or private social service agency verifying the applicant is homeless and attesting to the applicant's residence for registration purposes.

Section 7. United States Citizenship Documentation. For purposes of providing proof of United States citizenship for purposes of voter registration, any of the documents specified in W.S. 22-1-102(a)(lvi) shall constitute proof of citizenship. As outlined in W.S. 22-1-102(a)(lvi)(A), a valid Wyoming driver's license as defined by W.S. 31-7-102(a)(xxv) or a valid Wyoming identification card issued under W.S. 31-8-101 shall constitute acceptable proof of citizenship provided it does not contain any indication that the person is not a United States citizen, including but not limited to any indication stating "Not U.S. citizen" as provided by W.S. 31-7-115 or W.S. 31-8-102.

Section 8. Durational Residency Documentation. In the event of a challenge, any of the following documents specified as proof of Wyoming residence under Sections 5 and 6 may be used to establish durational residency as required by W.S. 22-1-102(a)(xxvi) provided the documentation establishes the individual has been a bona fide resident of Wyoming for not less than thirty (30) days before the date of the next election, if necessary.

History

Effective 2026-06-10

Chapter 3 Uniformed and Overseas Citizens' Absentee Voting (UOCAVA)

Wyo. Code R. 002.0005.3.08262022 Uniformed and Overseas Citizens' Absentee Voting (UOCAVA)

Chapter 3 Uniformed and Overseas Citizens' Absentee Voting (UOCAVA)

Section 1. Authority. These rules are authorized by W.S. 22-2-121(b), (d), and (e).

Section 2. Designation of the Office of the Wyoming Secretary of State. The Office of the Wyoming Secretary of State is designated as the office responsible for providing information regarding voter registration procedures and absentee ballot procedures to voters qualifying under the Uniformed and Overseas Citizen Absentee Voting Act (UOCAVA) as defined in 52 U.S.C. § 20310.

Section 3. Who May Register and Request an Absentee Ballot under UOCAVA.

(a) All persons identified under W.S. 22-3-117(b) may simultaneously register and make application for an absentee ballot through the use of the Federal Post Card Application (FPCA).

(b) When registering to vote, overseas voters who are eligible to vote in Wyoming shall be deemed to reside in the voting precinct of the address of the last place of residence in Wyoming or a nonstandard voting address.

(c) The County Clerk may require any UOCAVA voter to present acceptable identification, as provided under W.S. 22-3-103(a)(v).

Section 4. Procedures for Requesting Information. The Office of the Secretary of State shall accept inquiries from, and provide information to, UOCAVA voters regarding voter registration procedures and absentee ballot procedures, including procedures relating to the use of the Federal Write-in Absentee Ballot (FWAB). Mail inquires shall be addressed to the Wyoming Secretary of State, attention: Election Division, Herschler Building East, 122 West 25th Street, Suites 100 and 101, Cheyenne, Wyoming 82002-0200.

Section 5. Procedures for Processing Voter Registration Applications.

(a) A person may register to vote at any time, except during the fourteen (14) days prior to an applicable election.

(b) Individuals may register to vote during the fourteen (14) days before an election if:

(i) The individual submits a request for an absentee ballot with the individual's state voter registration application; or

(ii) The individual submits an official FPCA requesting voter registration and an absentee ballot.

Section 6. Standard Oath. As allowed pursuant to 52 U.S.C. § 20302, Wyoming requires an oath or affirmation to accompany any ballot under this Chapter. The standard oath permitted by 52 U.S.C. § 20301(b)(7), and 10302(a)(5) shall be used:

I swear or affirm, under penalty of perjury, that I am:

A member of the Uniformed Services or merchant marine on active duty;

or an eligible spouse or dependent of such a member; or, a U.S. citizen residing outside

the U.S.; or, other U.S. citizen residing outside the U.S.; and

I am a U.S. citizen, at least 18 years of age (or will be by the date of the

election), and I am eligible to vote in the requested jurisdiction; and

I have not been convicted of a felony, or other disqualifying offense, or

been adjudicated mentally incompetent, or, if so, my voting rights have been reinstated;

and

I am not registering, requesting a ballot, or voting in any other jurisdiction

in the U.S., except the jurisdiction cited in this voting form.

In voting, I have marked and sealed my ballot in private and have not allowed any

person to observe the marking of the ballot, except for those authorized to assist voters

under State or Federal law. I have not been influenced. My signature and date below

indicate when I completed this document. The information on this form is true, accurate,

and complete to the best of my knowledge. I understand that a material misstatement of

fact in completion of this document may constitute grounds for a conviction for perjury.

Signed:_________________________________________ Date:____________________

Month/Day/Year

Section 7. Absentee Ballot Applications.

(a) Absentee ballot applications from UOCAVA voters shall be processed in accordance with 52 U.S.C. § 20302.

(b) County Clerks shall enter all UOCAVA absentee ballot applications into the statewide voter registration system within one (1) business day, following procedures established by the Secretary of State and as allowed by the statewide voter registration system.

Section 8. Transmitting Absentee Ballots to UOCAVA Voters.

(a) If a UOCAVA voter requests an absentee ballot forty-five (45) days or more before the date of the Primary, General or Special Election, the County Clerk shall send the absentee ballot no later than forty-five (45) days before the election.

(b) If a UOCAVA voter requests an absentee ballot fewer than forty-five (45) days prior to the election, the County Clerk shall send the absentee ballot within one (1) business day of receiving the request.

(c) The County Clerk shall transmit absentee ballots to UOCAVA voters via the method selected by the voter. If the voter does not indicate a preference, the County Clerk shall send the absentee ballot by mail.

(i) The County Clerk may transmit an absentee ballot electronically or by facsimile to a UOCAVA voter when specifically requested by the voter.

(A) The electronic absentee ballot shall be sent to the voter in a portable document format (PDF);

(B) The County Clerk shall send the absentee ballot with the UOCAVA oath form in accordance with Section 8 containing the voter bar code and voter identification number; and

(d) For absentee ballots that are mailed or faxed to UOCAVA voters, if the County Clerk has not received printed absentee ballots forty-five (45) days prior to the election, the County Clerk shall print the absentee ballot using the ballot on demand printer or an absentee ballot printed from a PDF file and send the absentee ballot to the UOCAVA voter.

Section 9. Processing Voted Absentee UOCAVA Ballots.

(a) All voted absentee ballots, including a FWAB, shall be returned by mail. The County Clerk shall not accept any ballot that is submitted electronically.

(b) County Clerks shall ensure that voted absentee ballots are delivered to the proper department or staff members for processing, counting, and maintenance according to the provisions in W.S. 22-9-115.

(i) Absentee ballots mailed to the voter shall be tabulated in accordance with the standard process for tabulating absentee ballots.

(ii) Absentee ballots transmitted electronically to the voter and returned by the voter on generic paper stock shall be treated by the County Clerk as damaged absentee ballots and processed in accordance with Chapter 6 of the Election Procedures Rules. The County Clerk may duplicate the absentee ballot at a counting center, but shall follow the provisions of Chapter 6.

(c) Absent voters, as defined in 52 U.S.C. § 20310(5) may use a FWAB if they have timely applied for a state absentee ballot and the absentee ballot sent by the County Clerk has not been received by the voter, subject to the requirements of 52 U.S.C. § 20301. The FWAB shall be counted only if:

(i) The state absentee ballot application was received by the County Clerk prior to election day; and

(ii) The state absentee ballot was not received by the County Clerk before the close of polls on election day.

Section 10. General Requirements Related to Absentee UOCAVA Ballots.

(a) County Clerks shall take necessary measures to protect the security and integrity of the absentee ballots and the privacy of the voter.

(b) County Clerks shall not refuse an otherwise valid voter registration application, absentee ballot application, voted absentee ballot, or FWAB from an overseas voter due to notarization requirements, paper type, weight, or size, or envelope type, weight, or size.

(d) The County Clerk shall enter all received absentee ballots into the statewide voter registration system within one (1) business day.

(e) The Secretary of State shall post UOCAVA absentee ballot information on the Secretary of State's website on a regular basis that provides UOCAVA voters the ability to track the receipt of their absentee ballots.

Section 11. Procedures for Processing Federal Postcard Application Absentee Ballot Requests.

(a) When a UOCAVA voter applies using the FPCA to register to vote and simultaneously to request an absentee ballot for the next election(s), the voter shall be provided absentee ballots by the County Clerk as required by W.S. 22-3-117.

(b) The County Clerk shall maintain a record of all requests as described in (a) above to ensure the requested absentee ballots can be sent as soon as available for all covered elections.

Section 12. Reports of Absentee Ballots Transmitted and Returned and Cast.

(a) Following each regularly scheduled federal election, each County Clerk shall report to the Secretary of State the number of absentee ballots transmitted to UOCAVA voters, the number of absentee ballots returned by UOCAVA voters and cast in the election, and the total number of absentee ballots cast in the election. This report shall be in the format prescribed by the Federal Election Assistance Commission (EAC).

(b) No later than ninety (90) days following each regularly scheduled federal election, the Secretary of State shall report using the format prescribed by the EAC the composite data described in (a) above to the EAC and make the report available to the public.

History

Effective 2022-08-26

Chapter 4 Using Provisional Ballots

Wyo. Code R. 002.0005.4.10222013 Using Provisional Ballots

Wyoming Secretary of State Rules for Using Provisional Ballots

CHAPTER 4

Section 1. Authority. These rules are authorized by W.S. 22-2-121(b) and (d) and are necessary to implement Section 302 of the Help America Vote Act of 2002 [hereafter referred to as HAVA], P.L. 107-252.

Section 2. Purpose. These rules are promulgated to enable State and local Wyoming election officials and employees to administer W.S. 22-1-102(a)(xli) and W.S. 22-15-105 and the requirements of HAVA relating to provisional ballots uniformly and efficiently.

Section 3. Applicability. These rules apply to all State and local election officials, employees, and election judges by whatever designation with responsibilities concerning provisional ballots, and to all voters and prospective voters.

Section 4. Use of Provisional Ballots. Prospective voters shall be permitted to cast provisional ballots as provided in W.S. 22-1-102(a)(xli), 22-3-118, and 22-15-105. Also, when the polls are kept open after 7:00 p.m. by court order or by Emergency Directive of the Secretary of State, all voters entering the polls after 7:00 p. m. shall be permitted to cast provisional ballots only.

Section 5. Provisional Voting Form.

(a) The provisional voting form shall contain:

(i) Instructions for election judges regarding appropriate use of provisional ballots consistent with this Chapter;

(ii) Instructions to voters regarding how, when, and where they must provide documentation showing their eligibility to vote in the precinct;

(iii) Instructions to voters regarding how and when to determine if a ballot was counted by the County Canvassing Board; and

(iv) The name, street address, telephone number, and business hours of the County Clerk for the day following election day.

(b) The provisional voting form shall also provide space for the following information to be recorded:

(i) Election date;

(ii) County name;

(iii) District and precinct numbers;

(iv) Election judge's name; and

(v) The reason for issuing the provisional ballot.

Section 6. Provisional Ballots and Secrecy Envelopes.

(a) Provisional ballots shall be clearly marked as such and shall be of a form that cannot automatically be tabulated [W.S. 22-15-105]. They may be:

(i) Photocopies of the regular ballot with "Provisional Ballot" clearly printed at the top;

(ii) Regular ballots with the bar code disabled; or

(iii) Another form that satisfies the above requirement.

(b) Provisional ballots shall have the County number listed first followed by any sequence of numbers desired (such as a district/precinct number) as long as there is no possibility of a duplicate number.

(d) The outside of the secrecy envelope shall bear the affirmation prescribed by W.S. 22-15-105(b).

Section 7. Handling of Provisional Voting Forms and Provisional Ballots.

(a) An election judge will fill out the provisional voting form for the voter.

(b) The two pages of the form shall be separated, and the first page retained by the election judge.

(d) The voter shall execute the oath or affirmation on the secrecy envelope, seal his or her completed ballot in it, and return it to the election judge.

(e) Provisional ballots shall be secured and segregated from other ballots.

They shall not be included in the election day tabulation of votes.

(f) Provisional ballot envelopes shall be marked by County number first and then each provisional ballot envelope shall have a unique number following the County number.

Section 8. Post Election Processing of Provisional Ballots.

(a) After the time allowed for provisional voters to present documentation of their right to vote in an election, election officials shall attach the documentation provided to each provisional ballot envelope.

(b) The provisional ballots and their attachments shall be forwarded to the County Canvassing Board for its review and determination of the validity of each.

(c) The County Canvassing Board shall conduct its business concerning the validity of the provisional ballots in such a manner as to protect the confidentiality of the votes (which is most critical when there are few valid provisional ballots) and the privacy rights of the provisional voters, including at a minimum, the identity and confidential personal information of the voter. The Board shall meet in executive session as required to do so.

(d) Those voters casting provisional ballots who are determined to be eligible to vote in the precinct shall have their provisional ballots counted and the results of the entire ballot shall be added to the results of the election.

Section 9. Reports of Provisional Ballots Cast and Counted.

When the abstracts, including the provisional ballot results, have been reviewed and certified by the County Canvassing Board, they shall immediately be forwarded to the Office of the Secretary of State.

History

Effective 2013-10-22

Chapter 5 Accessibility of Polling Places

Wyo. Code R. 002.0005.5.08262022 Accessibility of Polling Places

Chapter 5 Accessibility of Polling Places

Section 1. Authority. These rules are authorized by W.S. 22-2-121(b) and (d).

Section 2. Notification of County Clerk.

(a) A registered voter whose polling place is inaccessible shall notify their County Clerk of the need for accommodation prior to election day.

(b) Notice under subsection (a) may be oral or written. No statement from a medical doctor or other professional shall be required to verify the voter's statement.

Section 3. Accessible Alternatives Available.

(a) The County Clerk shall offer one or more alternatives to voting in person at an assigned polling place to a registered voter who provides notice to the County Clerk pursuant to Section 2(a). Alternatives may include but shall not be limited to the following:

(i) Voting by absentee ballot in advance of the election if otherwise permitted;

(ii) Delivery of an absentee ballot to an accessible polling place where the voter may vote and, have the ballot returned to and counted at his polling place or counting center while maintaining the secrecy of the ballot;

(iii) Delivery of a ballot from the voter's regular polling place to the voter in a vehicle at curb-side, and when voted, to have it picked up and returned to the polling place to be deposited in the ballot box while maintaining the secrecy of the ballot;

(iv) Voting at an accessible polling place on an accessible voting system properly programmed for the voter's correct precinct;

(v) Voting by other reasonable means in any accessible location as may be available in the county.

Section 4. Curbside Voting.

(a) Curbside voting shall require two election judges to leave the polling place and deliver a ballot to a person in a vehicle which is parked near the entrance to the polling place.

(b) Two election judges of different political parties, if possible, once notified of the need for curb-side assistance, will determine if a voter is registered to vote in that precinct.

(i) If the voter is currently registered, their name will be marked on the poll book/poll list, and the correct ballot will be delivered to the voter in a secrecy sleeve.

(ii) If the voter is not registered or if a change needs to be made to the voter registration information, the two election judges will deliver a voter registration/change form to the voter for completion prior to providing a ballot to the voter.

(c) After the voter has been provided a ballot, the election judges shall provide instructions to the voter, along with an appropriate marking device. The election judges shall inform the voter that the ballot will be cast as marked by the voter.

(i) After the ballot has been marked by the voter, the election judges shall instruct the voter to insert the ballot into the secrecy sleeve. The voter shall then give the secrecy sleeve with the ballot to the two election judges who will take the ballot into the polling place to be cast.

(ii) The two election judges shall insert the ballot into the ballot tabulation device.

Section 5. Maintenance of the Confidentiality of Ballots Voted. A ballot voted at a location other than the voter's precinct of residence, because of accommodation made pursuant to this Chapter, shall be kept confidential. It shall be counted in the proper precinct and the vote reported with the results from that precinct.

History

Effective 2022-08-26

Chapter 6 Standards for Counting Damaged Ballots

Wyo. Code R. 002.0005.6.08262022 Standards for Counting Damaged Ballots

Chapter 6 Standards for Counting Damaged Ballots

Section 1. Authority. These rules are authorized by W.S. 22-14-114(a).

Section 2. Duplicating Board.

(a) At each polling place, the "duplicating board" shall be a subdivision of the counting board or of the election judges appointed to count the absentee ballots in that precinct or counting center. The duplicating board shall consist of at least three (3) individuals of different political parties, if available, responsible for duplicating the damaged ballots that a voting machine has rejected.

(b) Each duplicate ballot shall be a true copy of the original with the damage removed. Each duplicate ballot shall be marked "Duplicate" and have the same control number recorded on it as the original ballot.

Section 3. Ballots that Cannot be Tabulated.

(a) Damaged ballots that cannot be counted by a tabulating machine shall be duplicated by the duplicating board.

(i) Three (3) election judges shall duplicate the ballot.

(ii) One (1) election judge shall read the vote off the official ballot and the second election judge shall mark a blank ballot with that vote. The third election judge shall witness the duplication process.

(b) The original ballot shall be marked "original ballot" and given a control number.

(c) The duplicate ballot shall be marked "duplicate ballot" and the control number given to the original ballot shall be written on the duplicate ballot.

Section 4. Counting of Duplicate Ballots.

(a) The duplicate ballots shall be counted by the voting machine with the absentee ballots, and the vote tallies shall be added to the precinct or counting center totals, and reported together.

(b) The original ballot shall be retained in a "duplicated ballot" container.

(c) All rejected, spoiled, or duplicated ballots shall be kept for a minimum of twenty-two (22) months or until all election contests affected by the ballots have been terminated.

History

Effective 2022-08-26

Chapter 7 Absentee Polling Places

Wyo. Code R. 002.0005.7.08262022 Absentee Polling Places

Chapter 7 Absentee Polling Places

Section 1. Authority. These rules are authorized by W.S. 22-2-121(b) and W.S. 22-9-125(c).

Section 2. Absentee Polling Places.

(a) When the board of county commissioners authorizes the establishment of an absentee polling place under the provisions of W.S. 22-9-125(a)(ii), the County Clerk shall:

(i) Inspect and certify voting machines to be used in the absentee polling place according to the provisions of W.S. 22-10-108; and

(ii) Appoint not less than three (3) qualified electors equally divided between the participating political parties, if possible, to serve as election judges at the absentee polling place; and

(iii) Send a notice to the county chairman of each political party in the county notifying the county chairmen of the right to have poll watchers present at the absentee polling place pursuant to W.S. 22- 15-109. The County Clerk shall send the notice no later than fifteen (15) days prior to the first day of voting at the absentee polling place.

(b) Not later than seven (7) days prior to the first day of voting at the absentee polling place, the county chairman of each political party shall deliver to the County Clerk a list of names and schedules of party members who will serve as poll watchers at the absentee polling place.

(c) Each day the absentee polling place operates, the election judges shall lock, seal, and secure all automatic tabulating equipment and ballot boxes, and secure all unused ballots, ballot cards, poll books, voter oaths, and any other election materials or supplies.

(d) A person may register to vote at the absentee polling place provided they meet the qualifications of W.S. 22-3-102 and provides acceptable identification pursuant to Chapter 2, Section 6 of these rules.

(e) If a person attempts to register at an absentee polling place after the close of registration as provided in W.S. 22-3-102(a), that person must also cast an absentee ballot pursuant to W.S. 22-3-117(a).

History

Effective 2022-08-26

Chapter 12 Certification of Voting Equipment

Wyo. Code R. 002.0005.12.05212020 § 1 Purpose

(a) The secretary of state, pursuant to W.S. 22-2-121, is promulgating these rules to establish procedures for certification of electronic voting equipment used in Wyoming for federal or state elections to comply with the requirements of the Help America Vote Act of 2002 (HAVA), Public Law 107-252.

(b) For purposes of this chapter of rules, "voting equipment" or "equipment" means both the hardware and software, including firmware, utilized for the recording, tabulating, counting, and auditing of votes in an election.

History

Effective 2020-05-21

Wyo. Code R. 002.0005.12.05212020 § 2 Application for Certification of Voting Equipment

(a) The Application for Certification of Voting Equipment form shall be designed and provided by the Wyoming secretary of state.

(b) Before any equipment is sold or upgraded, the vendor shall submit the application for certification of voting equipment to the secretary of state for approval.

(i) Meets the federal Voluntary Voting System Guidelines (VVSG), to include which version;

(ii) Is in compliance with federal standards and meets federal law;

(iii) Meets state law; and

(iv) Has been certified and implemented in at least two (2) states for use in federal elections in those states.

(d) The vendor shall provide the following supporting documentation:

(i) A report from an accredited Voting System Test Laboratory (VSTL) certifying the system is in compliance with the VVSG. This report is a third party document and shall not be released by the secretary of state but will be deemed confidential;

(ii) Evidence of the Election Assistance Commission (EAC) certification;

(iii) State certification letter from each state named in (c)(iv) and the contact information to include email and telephone;

(iv) A Wyoming Certificate of Good Standing for the registered business entity dated not more than ninety (90) days prior;

(v) All related manuals, including, but not limited to, technical manuals for repair and maintenance for the equipment, operations manuals for election officials, printer manuals for ballot production, and all other written documents prepared by the vendor that describe the operation, use, and maintenance of the equipment;

(vi) A list of applicable patents and copyrights on the equipment;

(vii) A history of the equipment to include a complete description of the equipment, the date the equipment went into production, and a complete list of states which have used the equipment;

(viii) A list of any written complaints or concerns made to the vendor by other jurisdictions to include county or local jurisdictions, and a description of the resolution of the complaints or concerns. If there are no written complaints or concerns made to the vendor by other jurisdictions, a statement to that effect is required;

(ix) A list of all denials of certification made to the vendor by other jurisdictions to include state, county, or local jurisdictions, to be accompanied by official documentation provided by the jurisdiction about the denial; how the denial was resolved, if applicable; and, if the denial was not resolved, a statement or description as to why it was not resolved; and

(x) An escrow account containing the source code for the system and/or system components requested for certification to include any and all updates to the source code.

History

Effective 2020-05-21

Wyo. Code R. 002.0005.12.05212020 § 3 Grounds for Denial or Withdrawal of Certification of Voting Equipment

The secretary of state may deny or withdraw the certification of equipment for any of the following reasons:

(a) A county clerk notifies the secretary of state of a significant problem with the equipment or the secretary of state determines there is a significant problem with the equipment;

(b) The secretary of state determines that the equipment fails to meet the requirements necessary for approval or continued compliance;

(d) The vendor fails to notify the secretary of state of significant enhancements or adjustments which are necessary to the equipment;

(e) Upon written request by the secretary of state, the vendor fails to submit the equipment for re-examination by an EAC/NIST certified VSTL;

(f) The equipment does not produce accurate results and reports as required by law;

(g) Changes are made in the equipment that do not comply with the requirements for certification;

(h) The equipment is no longer used by any county in Wyoming or is no longer available for purchase or repair from the company; or

(i) The equipment, vendor or its employees are found to be problematic in ensuring elections as critical infrastructure.

History

Effective 2020-05-21

Wyo. Code R. 002.0005.12.05212020 § 4 Procedure for Notice of Possible Withdrawal of Certification and Remedy Process

At any time after the certification of equipment, the secretary of state may withdraw such certification by complying with the following procedures:

(a) Written notice of the grounds for possible withdrawal is given to the vendor. Such notice shall include the following information:

(i) The reason(s) for possible withdrawal of certification; and

(ii) The date upon which certification may be withdrawn.

(b) If the vendor is notified of grounds for a withdrawal of certification, the vendor is responsible for all fees associated with any remedy necessary to maintain certification.

(c) The vendor shall have thirty (30) days to respond to the notice of grounds for withdrawal of certification. The vendor's response shall contain one or more of the following:

(i) A description of the corrective measures taken;

(ii) An explanation as to why the problem is not significant and the reason corrective measures do not need to be taken; or

(iii) An explanation as to why there is no problem with the equipment.

(d) After receiving the vendor's response, the secretary of state shall within forty-five (45) days determine whether:

(i) The vendor's corrective measures are satisfactory;

(ii) The explanations offered are satisfactory;

(iii) Further explanation is necessary; or

(iv) Withdrawal of certification is required.

(e) The secretary of state shall notify the vendor and counties of the decision in writing within ten (10) business days after making the determination.

History

Effective 2020-05-21

Wyo. Code R. 002.0005.12.05212020 § 5 Decertification of Voting Equipment

The secretary of state may issue a directive decertifying the equipment if the secretary of state determines that any of the following are applicable:

(a) The equipment fails to meet the requirements necessary for continued compliance;

(b) Changes are made in the equipment that do not comply with the requirements for certification;

(d) The equipment, vendor or its employees are found to be problematic in ensuring elections as critical infrastructure; or

(e) The secretary of state determines that a single vendor is to be used for the purposes of equipment uniformity.

History

Effective 2020-05-21

Wyo. Code R. 002.0005.12.05212020 § 6 Maintaining Certification

(a) Reporting of Upgrades and Modifications in Equipment and Software: The vendor shall notify the secretary of state of all planned upgrades, patches, and modifications to the equipment to include a description of the upgrades, patches and/or modifications and the areas impacted. The notification form shall be designed and provided by the secretary of state. No upgrades, patches, or modifications shall be applied without written approval by the secretary of state.

(b) Odd Year Reporting: By July 1 of each odd numbered year, the vendor shall certify to the secretary of state a list, by county, of the equipment being used and other related demographics as required within the reporting form that shall be designed and provided by the secretary of state.

(c) Election Year Reporting: By May 1 of each general election year, the vendor shall certify to the secretary of state a list providing information about the software and firmware versions being used by county. The reporting form shall be designed and provided by the secretary of state.

History

Effective 2020-05-21

Wyo. Code R. 002.0005.12.05212020 § 7 Purchasing New Equipment

(a) In order to facilitate compliance with HAVA and state election laws, no county shall purchase any new equipment, trade old equipment for new equipment, or install any updates, patches or add-ons without the prior written notification to the secretary of state and subsequent approval by the secretary of state.

(b) Any new equipment that is purchased by either the state or county must be certified pursuant to these rules.

(i) The type of equipment being used to include peripherals;

(ii) The quantity of each;

(iii) The serial number of each;

(iv) The software version, if applicable, of each; and

(v) The firmware version, if applicable, of each piece of hardware.

(d) Counties shall provide the above inventory to the secretary of state on a certification form prescribed by the secretary of state. Counties shall keep the original form and shall provide an electronic copy to the secretary of state. This form shall be updated and provided to the secretary of state by June 1 of each election year or within two (2) weeks of any new equipment being purchased.

History

Effective 2020-05-21

Chapter 13 Election Judges and Counting Board Members

Wyo. Code R. 002.0005.13.08262022 Election Judges and Counting Board Members

Chapter 13 Election Judges and Counting Board Members

Section 1. Authority. The Secretary of State promulgates this chapter pursuant to W.S. 22-2-121(a).

Section 2. Duties of the County Clerk.

(a) The County Clerk shall appoint election judges and counting board members in accordance with W.S. 22-8-101.

(b) The County Clerk has the authority to determine who may be an election judge or counting board member. Candidates may not serve as an election judge in a precinct where the candidate's name will appear on the ballot.

Section 3. Duties of Election Judges and Counting Board Members.

(a) Election judges shall inventory ballots delivered pursuant to W.S. 22-12-108, and the total shall be marked in the poll book or inventory log.

(b) Election judges shall verify the number of voters by comparing the poll book numbering with the number of voted ballots displayed on the voting machine. Any discrepancies shall be recorded by documenting the discrepancy, the time, and any additional information related to the discrepancy.

(c) Election judges shall report errors or problems with the voting equipment to the County Clerk's Office as soon as possible.

(d) Election judges shall provide assistance to curb-side voters in accordance with Chapter 5, Section 4 of these rules.

(e) At the close of the polls, election judges shall count the unused and spoiled ballots to balance the inventory of ballots they received and record the inventory in the poll book or inventory log.

(f) Counted ballots shall be locked in a secure container and sealed. The seal shall remain on the container until returned to the County Clerk.

(g) At the close of the polls, election judges shall secure all equipment using the procedures established by the equipment manufacturer, the County Clerk and the Secretary of State's rules.

(h) At the close of the polls, election judges and counting board members shall return all voting supplies, poll books, inventory logs and ballot boxes to the County Clerk as soon as possible.

(i) Election judges and counting board members shall not post or give out unofficial results except to the County Clerk.

Section 4. Absentee Ballots.

(a) For absentee ballots that are counted at the polling place location, or if a county clerk is using a central counting center:

(i) If an absentee ballot has been sent to a voter and that voter attempts to vote at the polls, the election judge shall determine whether an absentee ballot has been received in the County Clerk's office for that voter.

(ii) If the absentee ballot has been received in the County Clerk's office, the voter may not vote in person.

(iii) If the election judge is not able to reach the County Clerk, the judge shall offer to let the voter vote a provisional ballot. The decision to count the provisional ballot shall be decided by the county canvassing board pursuant to W.S. 22-15-105(d).

(iv) If the voter's absentee ballot has not been received by the County Clerk's office, the voter shall be allowed to vote.

(b) If a voter is issued more than one (1) ballot, the first ballot received by the County Clerk or cast at a polling place shall be considered the voter's only official ballot.

Section 5. Student Election Judges.

(a) Individuals between 16 and 18 years old may serve as student election judges by filing an application with the County Clerk. A student election judge appointed by the County Clerk shall subscribe to the oath required by W.S. 22-8-115 and may register persons to vote.

(b) The application form for student election judges shall be prescribed by the Secretary of State.

Section 6. Judges' Work Schedule.

(a) The head or chief judge may not work a split shift.

(b) The County Clerk shall determine if election judges may work split shifts during an election. The County Clerk shall:

(i) Determine which precincts, if any, may use spilt shifts.

(ii) Set specific hours to be worked.

(iii) Ensure that each shift includes an equal number of election judges representing each major political party. If major political parties cannot be represented, the County Clerk may use unaffiliated election judges.

(i) Stay at the polls until relieved from duty by a replacement election judge.

(ii) Shall complete all necessary paperwork required by the County Clerk.

(iii) Shall sign a time sheet designating the time arrived and time departed.

(iv) Shall sign a log verifying that the reconciliation of the count has been completed, note any discrepancies, and the reasons for any discrepancies.

(d) The County Clerk may establish additional procedures for the transition between shift election judges.

History

Effective 2022-08-26

Chapter 14 Polling Places

Wyo. Code R. 002.0005.14.08262022 Polling Places

Chapter 14 Polling Places

Section 1. Authority. These rules are authorized by W.S. 22-2-121(b).

Section 2. Definitions.

(a) "Ballot Box" means any container that holds election ballots that can be locked and sealed.

(b) "Auxiliary Bin" means any container that contains voted ballots that have not been tabulated by a tabulating machine due to equipment failure or other emergency as determined by the County Clerk, that can be locked and sealed.

Section 3. Prior to Polls Opening.

(a) The County Clerk and their election judges shall ensure the security of the equipment and materials in transit to the polling place and at the polling place prior to the opening of the polls. Election judges shall recheck all security seals and security measures prior to the opening of the polls.

(b) Election judges shall inventory ballots delivered pursuant to W.S. 22-12- 108, and the total shall be marked in the poll book or inventory log.

Section 4. During Polling Hours.

(a) Any issue encountered with the voting equipment shall be reported by the election judges to the County Clerk's Office. The county clerk shall report the issue to the Secretary of State as soon as possible.

(b) In precincts where absentee ballots are counted at the polls, a sign shall be posted stating that election judges may be processing absentee ballots while voters are in the polling area.

(c) Poll watchers from any political party are allowed at the polling place only if the County Clerk has been notified of the name of the poll watcher, and the time and polling place that the poll watcher will serve. Election judges shall be trained by the County Clerk on poll watchers' duties prior to election day. Poll watchers may not sit at the same table as election judges. No one other than the election judges may ask voters questions. Poll watchers shall wear appropriate identification as determined by the County Clerk.

(d) If the election judges determine that a precinct will not have a sufficient number of ballots and the polling place does not have a ballot on demand printer, the election judges shall notify the County Clerk as soon as possible. When the County Clerk has been notified by the election judges of the need for additional ballots:

(i) The County Clerk shall prepare and deliver ballots to the polling place and document the number of additional ballots printed and delivered;

(ii) Upon delivery of the ballots, the election judges shall confirm the number of ballots received at the polling place and mark the number on the balance sheet prior to using the ballots;

(iii) If the County Clerk does not have a ballot on demand printer, the County Clerk shall supply the precinct with copies of the ballot to serve as emergency ballots. Election judges shall confirm the number of emergency ballots received at the polling place and mark the number on the balance sheet prior to using the emergency ballots;

(iv) Voted emergency ballots shall be placed in the auxiliary bin and shall be treated by the County Clerk as damaged ballots and processed in accordance with Chapter 6 of the Election Procedures Rules.

(v) If the emergency ballots cannot be duplicated and tabulated, they shall be counted by hand by the canvassing board and the results tallied in the poll book or inventory log.

(e) If a ballot box is full, election judges may open the bin to rearrange the ballots. Should the ballot box be too full to sufficiently rearrange the ballots, two (2) election judges from different political parties, if available, may remove the full ballot box and replace it with an empty ballot box. The election judges shall fill out, sign, date and time stamp a form stating that the ballots were removed.

Section 5. After the Polls Close.

(a) If the County Clerk has directed election judges to process absentee ballots after the polls close, the election judges shall not process the absentee ballots until all voters in line have voted.

(b) The election judges shall count the number of ballots in the auxiliary bin, mark this number on the balance sheet, and transfer the ballots from the auxiliary bin to a sealed ballot box to be delivered to the County Clerk.

Section 6. Opening, Closing, and Re-Opening the Polls.

(a) As used in this section, "opening of polls," means activating a ballot tabulation device so that votes may be tabulated, "closing of polls," means deactivating a ballot tabulation device so that votes may not be tabulated, and "re-opening of polls" means activating a ballot tabulation device, after the ballot tabulation device has been deactivated. "Opening of polls," "closing of polls," and "re-opening of polls," does not mean the opening or closing of a polling place.

(b) Polls shall be opened, closed, and re-opened in accordance with statute, and at the direction of the County Clerk.

(c) At the direction of the County Clerk and in the presence of two (2) or more election judges from different political parties, if available, the polls may be re-opened subject to the following:

(i) Election judges shall provide notice to voters present at the polls.

(ii) If election judges find ballots in the auxiliary bin or discover other non-counted ballots after the polls have closed, they shall call the County Clerk and report it immediately.

(iii) The County Clerk may instruct election judges to re-open the polls to process all non-counted ballots. If the County Clerk does not instruct election judges to re-open the polls and process all non-counted ballots, the County Clerk shall submit the non-counted ballots to the County Canvassing Board to process.

(d) Election judges shall sign all statements printed from the machine tapes when the polls are opened or closed.

(e) If election judges re-open the polls, the election judges shall provide a written statement of events to be reviewed by the County Canvassing Board.

History

Effective 2022-08-26

Chapter 15 Election Results

Wyo. Code R. 002.0005.15.10222013 Election Results

Wyoming Secretary of State Rules for Election Results to the Secretary of State's Office

CHAPTER 15

Section 1. Authority. The Secretary of State, pursuant to W.S. 22-2-121, is authorized to promulgate such rules as are necessary to maintain uniform voting and vote counting procedures and orderly voting and to comply with the requirements of the Help America Vote Act of 2002 (HAVA), Public Law 107-252.

Section 2. Purpose. These rules are promulgated to establish standards and procedures for sending official and unofficial election reports to the Secretary of State's Office, in accordance with W.S. 22-8-101, et seq.

Section 3. Applicability. These rules apply to all local election officials with responsibilities as designated in W.S. 22-8-101, et seq.

Section 4. Election Night Results.

(a) The County Clerk shall immediately submit unofficial results as prescribed by the Secretary of State's Office, including:

(i) The precinct-by-precinct results;

(ii) Over and under votes;

(iii) Write-in vote totals; and either

(iv) Total ballots cast by party for the Primary Election; or

(v) Total ballots cast for the General Election.

(b) Results shall be submitted no later than 10:30 p.m. on election night, unless the County Clerk contacts the Secretary of State prior to 10:30 p. m. and a mutually agreeable alternative time is determined.

Section 5. Following the Canvassing Board Meeting.

(a) The County Clerk shall immediately submit official results via email to the Secretary of State's Office, using the report forms as designated by the Secretary of State. These shall include:

(i) The precinct-by-precinct results;

(ii) Over and under votes;

(iii) Write-in vote totals;

(iv) Applicable write-in spreadsheet/information that could have affected the outcome of the races of interest to the Secretary of State;

(v) Number of provisional ballots received;

(vi) Number of provisional ballots counted;

(vii) Reasons for rejection of provisional ballots;

(viii) Total ballots cast;

(ix) Total ballots cast by precinct;

(x) Provisional ballot spreadsheet; and

(xi) Any other information deemed necessary to complete the State Canvass.

(b) The official canvass reports shall be signed by the County Canvassing Board.

(c) The certified copy of the County abstract shall be electronically submitted to the Secretary of State's Office immediately after canvassing. The County Clerk may either send the original certified results or send an email stating that the unofficial election results previously submitted to the Secretary of State's Office were not changed by the County Canvassing Board and are the official certified results. Such emails must be accompanied by a scanned copy of the certification page showing proper signatures.

Section 6. Emergency Procedures. The Secretary of State's Office shall have a written procedure on alternative ways to report the unofficial and official results should it be impossible to report in the normal method.

Section 7. Recount. When a County Clerk conducts a retabulation following an election, such retabulation may constitute a recount pursuant to W.S. 22-16-109(b).

History

Effective 2013-10-22

Chapter 16 Voter Registration

Wyo. Code R. 002.0005.16.10222013 Voter Registration

Wyoming Secretary of State

Rules for Voter Registration

CHAPTER 16

Section 1. Authority. The Secretary of State, pursuant to W.S. 22-2-121, is authorized to promulgate such rules as are necessary to maintain uniform voting, to maintain orderly voting and to comply with the requirements of the Help America Vote Act of 2002 (HAVA), Public Law 107-252 and the Military and Overseas Voter Empowerment Act of 2009 (MOVE). Section 303 of HAVA requires the use of a statewide voter registration system to serve as the single system for storing and managing the official list of registered voters throughout the State. The statewide voter registration system shall be designated the statewide voter registration system and shall be used by all counties for the conduct of all federal and statewide elections for full compliance with HAVA and MOVE.

Section 2. Purpose. These rules are promulgated to establish standards and procedures for voter registration.

Section 3. Applicability. These rules apply to all voters and local election officials with responsibilities as designated in W.S. 22-8-101, et seq.

Section 4. Completion of Voter Registration Application.

(a) Party Affiliation. Voters must select one of the currently recognized political parties or select "unaffiliated" on the voter registration (VR) application. If a recognized party loses status, the affiliation of the voter will remain in the voter registration database, but will appear as unaffiliated on all reports unless the voter formally changes his affiliation to a currently recognized party.

(b) The statewide voter registration application form will be prescribed by the Secretary of State and can be found on-line. This form must be signed in front of a registry agent.

Section 5. Voter Registration Drives.

(a) County Clerks may not accept batches of voter registration applications. An individual must submit his voter registration application in person or by mail, and said application must comply with the requirements of W.S. 22-3-103.

(b) County Clerks may not conduct voter registration drives except in a public area that is owned or occupied by a political subdivision or governmental institution, agency, or entity.

(c) All copies of identification submitted in accordance with W.S.22-3-117(a) and 22-3-118(c) shall be attached to the voter registration application and shall be kept confidential in accordance with other voter registration information. All copies shall be retained for no less than twenty-four (24) months, or until a voter votes in person and presents identification at the polls, after which said documents can be destroyed.

Section 6. Adding a Voter to the Voter Registration System.

(a) All counties shall enter election day voter registration applications into the statewide voter registration system not later than thirty (30) calendar days following any election held under W.S. 22-2-101. The Secretary of State may allow a five (5) calendar day extension if requested in writing by the County Clerk stating the reason for the necessity of an extension.

(b) In order to preserve historical data on voters, when a voter exists in the statewide voter registration system, whether active or inactive, County Clerks shall not create a new/duplicate record when registering the voter. Instead, County Clerks must update the current active record or reactivate the existing inactive record.

(c) The County Clerk shall process all potential duplicate voter records prior to conducting absentee voting in any federal or statewide election by:

(i) Marking in the statewide voter registration system the duplicate voting records as not a match; or

(ii) Merging the duplicate voting records in the statewide voter registration system that are a match.

Section 7. Cancelling a Voter Registration. When the County Clerk has information that a registration should be cancelled, he shall mail a notice to cancel pursuant to W.S. 22-3-116. The notice shall state that the cancellation shall occur within twenty (20) days from the date the notice was mailed unless the elector asks that his name remain on the registry list. A felon who requests to remain on the list must provide proof that he is a qualified elector.

Section 8. Access to Voter Registration System.

(a) Counties are required to access the statewide voter registration system only from approved locations. Any connection from a source that is not approved is a violation of the user access documents signed by all users of the system and could jeopardize the security of the HAVA-compliant statewide voter registration system.

(b) Approved locations are limited to the County Clerk's Office, unless:

(i) The County Clerk requests permission in writing for remote access;

(ii) The County Clerk certifies that the remote access meets the following criteria:

(A) The connection between the remote site and the County Clerk's Office must be through a secure Virtual Private Network (VPN) connection; and

(B) The VPN connection must be based on one of the following technologies:

(I) IPsec (Internet Protocol Security);

(II) L2TP (layer 2 tunneling protocol); or

(III) SSL (Secure Sockets Layer); and

(D) The computer must be in compliance with the County's standard security practices.

(c) The County Clerk must provide written assurance to the Secretary of State's Office of compliance with these policies.

History

Effective 2013-10-22

Chapter 17 Privacy of Voter Information

Wyo. Code R. 002.0005.17.07082008 Privacy of Voter Information

Wyoming Secretary of State Rules for Privacy of Voter Information

CHAPTER 17

Section 1. Authority. The Secretary of State, pursuant to W.S. 22-2-121, is authorized to promulgate such rules as are necessary to maintain uniform voting procedures and to comply with the requirements of the Help America Vote Act of 2002 (HAVA), Public Law 107-252.

Section 2. Purpose. These rules are promulgated to establish procedures for assuring privacy of voter information.

Section 3. Applicability. These rules apply to all registered voters and to all local election officials who administer the Election Code.

Section 4. Privacy of Information.

(a) Any registered voter may request that his residence and/or mailing address be concealed from public inspection on the voter registration list. Such request shall be made in writing to the County Clerk and shall demonstrate a threat to the voter's safety. Upon receipt of such request, the County Clerk shall take the appropriate steps to ensure that such person's residence and/or mailing address is not publicly disclosed.

(b) Upon submission of a certified copy of a court order granting that a voter's name be kept confidential, the person's name shall be removed from all voter records available for public inspection. However, if receipt of such certified order is within forth-five (45) days of the election, the voter's name shall be removed from the voter records within seven (7) days after the election.

(c) W.S. 22-2-113(d) specifies voter registration information that is deemed confidential. County Clerks shall maintain confidentiality by omitting confidential information from poll lists; from all reports provided to candidates, candidate's campaign committees or political action committees; and from any report made available to the public or to political parties. Such confidential information will appear on the statewide voter registration database, but access is limited to those users authorized to utilize the database.

History

Effective 2008-07-08

Chapter 18 Candidates

Wyo. Code R. 002.0005.18.10222013 Candidates

Wyoming Secretary of State Rules for Candidates

CHAPTER 18

Section 1. Authority. The Secretary of State, pursuant to W.S. 22-2-121, is authorized to promulgate such rules as are necessary to maintain uniform voting procedures and orderly voting.

Section 2. Purpose. These rules are promulgated to establish procedures for candidates filing for office.

Section 3. Applicability. These rules apply to all candidates whose names appear on a ballot of an election administered by a County Clerk.

Section 4. Campaign Requirements.

(a) Candidates are required to file in specific filing offices. At the time of filing, candidates are to be provided with information regarding how to access the following items:

(i) Campaign guide; and

(ii) Information on campaign finance disclosure reports.

(b) The candidate filing period closes at 5 p.m. on the last day of the filing period.

Section 5. Candidate Withdrawal.

(a) These rules apply to all candidates whose name appears on the ballot of an election administered by a County Clerk and are to be used when a candidate withdraws from an election.

(b) Upon receipt of written and signed notification by a candidate of his intention to withdraw from a race, a candidate's name will be removed from the ballot. If the ballot has been finalized and approved for printing prior to notification, the County Clerk will prominently post a notice at each polling place declaring the withdrawal. The notice shall state the full name of the candidate as it is printed on the ballot, the office the candidate was seeking, and all other pertinent information the County Clerk deems helpful to the voters. If the withdrawal notice is received by a filing office other than the County Clerk, a copy of the withdrawal will be immediately transferred to the County Clerk conducting the election.

(c) Prior to election day, but during absentee voting, the notice shall be posted in a prominent location at all absentee voting locations so it is easily visible to all absentee voters. A withdrawal notice shall be included with all absentee ballots mailed to voters effective from the day of formal notice of withdrawal to the end of the absentee balloting process.

(d) If time allows, notice should be provided with the publication of the sample ballots and polling place information.

(e) Once a candidate has withdrawn his name from the election, he may not subsequently change his mind and request his name be placed on the ballot. If the time for filing nomination applications has not yet closed, a candidate who has withdrawn may file another application.

Section 6. Candidate Name.

(a) A candidate is required to use his full name on his application for nomination or election. Fictitious or pseudo names will not be allowed. The Secretary of State or a County Clerk may ask for verification of name at time of filing. A candidate may not change his name after the application period for nomination or election has closed.

(b) A candidate may not change the ballot name he used on his application between the Primary, General and Special Election. For example, because of the confusion it could cause the voter, a person who marries or divorces between the Primary, General and Special Election will not be permitted to change his ballot name on the ballot.

History

Effective 2013-10-22

Chapter 19 Write-In Votes

Wyo. Code R. 002.0005.19.10262020 Write-In Votes

CHAPTER 19 Rules for Write-In Votes

Section 1. Authority and Purpose. The Secretary of State, pursuant to W.S. 22-2-121, is authorized to promulgate such rules as are necessary to maintain uniform voting and vote counting procedures and orderly voting and to comply with the requirements of the Help America Vote Act of 2002 (HAVA), Public Law 107-252. These rules are promulgated to establish procedures for the counting of write-in votes and notification of successful candidates and apply to all local election officials with responsibilities as designated in W.S. 22-8-101, et seq. Definitions from Chapter 29, Section 2 shall apply to this Chapter.

Section 2. Valid Write-In Votes.

(a) To constitute a valid write-in vote, the following shall apply for each of the following ballot devices:

(i) Ballot Tabulation Devices

(A) The oval next to the write-in line must be filled;

(B) The name must be written on the line provided; and

(ii) Ballot Marking Devices

(A) The proper square next to the write-in line must be selected;

(B) Using the keyboard, the name must be typed on the line provided. The names of write-in candidates shall appear on the printed ballot, the unofficial results printout, and on the ballot report images, as typed by the voter.

(b) The Canvassing Board shall have sole discretion over what write-in names should be grouped and counted.

(c) If it appears from the summary of votes that one office has enough write-in votes to affect the outcome of the election, then the write-in votes and write-in names must be verified by the County Canvassing Board.

(d) If directed by the Secretary of State, all write-in vote totals and all write-in names shall be reported to the Secretary of State for any designated statewide or legislative race.

(e) The top qualified write-in for any office other than precinct committeeman or committeewoman shall be nominated or elected. Casting of lots may be used if necessary to break a tie.

(f) Casting of lots means any method a Canvassing Board uses to break a tie, including, but not limited to, placing names in a container and drawing a name for the winner.

(g) Any person may request to have the votes cast for any one write-in candidate for one specific race, or for all write-in candidates for one specific race, whose votes did not affect the election, counted by:

(i) Filing a request with the appropriate election office; and

(ii) Paying an administrative fee of two hundred and fifty dollars ($250.00). The applicant shall be liable for any cost to count the votes up to a maximum of the fee paid. The County Clerk shall issue a complete accounting of all costs of counting the requested write-in votes and shall refund any surplus to the requestor.

(iii) The administrative fee shall be paid:

(A) To the County Clerk's Office for any one county or municipal race with write-in candidates;

(B) To each appropriate County Clerk's Office within a legislative district for any one (1) legislative race with votes for write-in candidates cast in the county; or

(C) To each appropriate County Clerk's Office for any one (1) statewide race with votes for write-in candidates cast in that county.

Section 5. Notifying Successful Municipal Candidates.

(a) The Canvassing Board shall determine if the municipal write-in has received at least three (3) votes. The Canvassing Board shall then determine if the write-in candidate is a qualified voter residing in that municipality and ward, if applicable. The Canvassing Board shall determine the write-in candidate(s) that received the most votes based on the number of offices up for election. If there is a tie, lots shall be cast by the Canvassing Board and the winner shall be notified as required in W.S. 22-16-106(b).

(b) A notice of all eligible write-in candidates as set forth in the County Canvass shall be forwarded to the Municipal Clerk. Failure of the successful write-in candidate to accept the nomination within five (5) days shall result in a vacancy which may be filled as provided in W.S. 22-23-308.

(c) All nominations for the General Election must be submitted to the County Clerk not less than sixty (60) days prior to the General Election as provided in 22-23-308(c).

History

Effective 2020-10-26

Chapter 20 Possession of Ballots

Wyo. Code R. 002.0005.20.10222013 Possession of Ballots

Wyoming Secretary of State

Rules for Possession of Ballots

CHAPTER 20

Section 2. Purpose. These rules are promulgated to establish procedures for the possession of ballots.

Section 3. Applicability. These rules apply to all local election officials with responsibilities as designated in W.S. 22-8-101, et seq.

Section 4. Possession of Ballots.

(a) W.S. 22-6-107 states ballots shall be in the County Clerk's possession forty (40) days before the election and under the Uniformed and Overseas Citizens Absentee Voting Act (UOCAVA) forty-five (45) days before the election.

(b) In the event ballots are not in the possession of the County Clerks by the statutory deadline, County Clerks shall notify the Secretary of State and shall immediately prepare emergency ballots as follows:

(i) Print absentee ballots in-house with a ballot-on-demand printer, if available to them; or

(ii) Print ballots in another County with ballot-on-demand capabilities, if possible; or

(iii) Prepare paper copies which cannot be machine read, but could be duplicated by the duplicating board, the absentee board or the election judges at the polls. Such duplicate ballots shall be machine counted.

(iv) If there is not sufficient ballot stock that can be machine counted and stock cannot be obtained in another County using ballot-on-demand capabilities, the County Clerk shall immediately notify the Secretary of State. The duplicating board, absentee board or the election judges at the polls shall then hand count those ballots.

History

Effective 2013-10-22

Chapter 21 Wyoming Campaign Finance Information System (WYCFIS)

Wyo. Code R. 002.0005.21.03302020 § 1 Authority

The Secretary of State, pursuant to Wyoming Statute 22-25-105, may promulgate such rules as are necessary to implement and maintain the electronic campaign finance information system.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 2 Purpose

These rules establish the forms, instructions and procedures for reporting contributions and expenditures for Primary, General, and Special Elections.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 3 Applicability

These rules shall apply to all persons that Wyoming law requires to file campaign finance reports.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 4 Definitions

(a) "Account" means the online account established by any person for reporting campaign contributions and expenditures.

(b) "Address of record" means any physical mailing address or email address of a person or officer on a Wyoming Campaign Finance Information System (WYCFIS) account.

(d) "In-kind contribution" means a donation of a good, service, or any item of value in place of a monetary donation.

(e) "Person" means any individual or entity, including candidate campaign committees, political action committees, political parties, organizations supporting or opposing any ballot proposition or causing electioneering communications or independent expenditures to be made, or any other persons, committees, or organizations, that Wyoming law requires to file campaign finance statements.

(f) "Responsible party" means a candidate, committee officer, chairman, treasurer, or other person that W.S. 22-25-106 requires to file campaign finance reports.

(g) "WYCFIS" means the electronic Wyoming Campaign Finance Information System.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 5 Establishing an Account

(a) All persons who are required by law to electronically sign and electronically file campaign finance reports using WYCFIS must establish a WYCFIS account.

(b) Persons establishing a WYCFIS account must provide all information requested by WYCFIS.

(d) The Secretary of State's Office shall send all correspondence to a person's or officer's address of record.

(e) If a candidate has not created a WYCFIS account by July 1 of the election year in which they are running, the Secretary of State's Office shall create the candidate's WYCFIS account. The candidate must file campaign finance reports using their WYCFIS account.

(f) The Secretary of State's Office shall review all WYCFIS account applications for compliance with the law and these rules. The Secretary of State's Office shall reject any WYCFIS account application that is incomplete or does not contain all required information. In addition, the Secretary of State's Office may reject any WYCFIS account application for the following reasons:

(i) A person is applying as a candidate for a position for which they are not qualified; or

(ii) A person is using a fictitious or false name.

(g) If the original purpose for a candidate's campaign committee or a political action committee changes after they have created a WYCFIS account, or a candidate decides to seek a new office after their campaign committee has already created a WYCFIS account, the committee must create a new committee account for the new purpose.

(h) The Secretary of State's Office may remove an account from active status if the responsible party fails to file required reports. Removing an account from active status does not absolve the responsible party's statutory obligation to file campaign finance reports. To reactivate the account, the responsible party must notify the Secretary of State's Office in writing of their intent to file a report. Once the Secretary of State's Office reactivates the account, the responsible party shall file their report within ten (10) days after reactivation.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 6 Signing the Application

(a) The Secretary of State's Office shall consider an electronic WYCFIS account application form to be signed when the responsible party types his or her name on the form and checks the box stating that the responsible party has read and understood the WYCFIS terms and conditions and that he or she declares, under penalty, of perjury that the information is true and correct.

(b) Typed signatures must match the name as previously entered on the account application form in WYCFIS.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 7 Filing Deadlines

(a) An application to set up a WYCFIS account may be filed at any time, but the Secretary of State's Office must approve an application before a person can file any campaign finance reports.

(b) Campaign finance reports must be electronically filed before midnight on the last day for filing a required campaign finance report.

(c) Write-in candidates must file a contribution and expenditure report pursuant to W.S. 22-25-106(a), regardless of whether the candidate has received or expended funds, unless the candidate did not actively seek office.

(d) A Special Election under W.S. 22-16-122 shall be considered a continuation of the election, whether Primary or General, for purposes of campaign finance reporting.

(i) In a Special Election, persons shall report their contributions and expenditures using the amendment process in WYCFIS.

(ii) Contributions received or expended for a Special Election must be designated as such in WYCFIS.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 8 Reporting Requirements

(a) Any committee that receives regularly scheduled payroll deductions or automatic monthly contributions from individuals pursuant to W.S. 22-25-102(h) may report those contributions cumulatively by individual at each required reporting period, providing the committee retains documentation of each contribution.

(b) Any person may transfer funds from their campaign account to any other campaign account. Such transfer of funds is an expenditure and the receipt of such funds is a contribution. Both must be reported.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 9 Closing an Account

(a) At the end of an election cycle, the Secretary of State's Office shall administratively close all active individual candidate accounts and accounts for organizations supporting or opposing any ballot proposition or causing electioneering communications or independent expenditures to be made. A candidate may open a new candidate account starting January 1 of the new election cycle.

(b) Committee accounts shall remain open and be subject to all statutorily required ongoing reports until the account's responsible party closes the account.

(c) Thirty (30) days after the Primary Election, the Secretary of State's Office may administratively close the candidate account of any candidate who was not successful in the Primary. Administratively closing an account does not absolve the candidate from filing any required campaign finance reports.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.21.03302020 § 10 Penalties for Delinquent Filings

Any candidate, candidate's campaign committee, political action committee or organization that fails to file a required report under W.S. 22-25-106 shall be subject to civil penalties pursuant to W.S. 22-25-108.

History

Effective 2020-03-30

Chapter 22 Ballot Preparation

Wyo. Code R. 002.0005.22.10222013 Ballot Preparation

Wyoming Secretary of State Rules for Ballot Preparation

CHAPTER 22

Section 2. Purpose. These rules are promulgated to establish standards and procedures for the preparation of ballots.

Section 3. Applicability. These rules apply to all persons and election officials with responsibilities for preparing ballots, as designated in W.S. 22-6-101, et seq.

Section 4. Order of Listing on Ballot.

(a) Primary and General Election ballots shall contain the offices to be voted on in the order established by W.S. 22-6-117.

(b) Party position on the General Election ballot for each office is determined by the number of votes received by each party within the County for the office of representative in congress at the last preceding General Election, as set forth in W.S. 22- 6-121.

(c) On the Primary partisan ballot, if any party does not have a candidate for a particular office, the ballot shall not state, "No candidate filed."

(d) On the General ballot, if any party does not have a candidate for a particular office, the ballot shall not list the major party nor state, "No candidate filed."

(e) All statutes pertaining to write-in spaces per office must be followed.

History

Effective 2013-10-22

Chapter 23 Voter Registration System

Wyo. Code R. 002.0005.23.10222013 Voter Registration System

Wyoming Secretary of State Closing the Election in the Statewide Voter Registration System

CHAPTER 23

Section 2. Purpose. These rules are promulgated to establish standards and procedures for the reporting of election data for purposes of complying with HAVA requirements.

Section 3. Applicability. These rules apply to all chief election officers as designated in W.S. 22-2-103.

Section 4. Procedures for Closing the Election.

(a) The County Clerk must check the Completed Election Day Registrations box in the statewide voter registration system to finalize the General Election day registration reporting process.

(b) The County Clerk must certify the election in the statewide voter registration system by December 31 on even numbered years or on an alternate date if directed by the Secretary of State if required to meet federal mandates.

History

Effective 2013-10-22

Chapter 24 Petitions

Wyo. Code R. 002.0005.24.08262022 Petitions

Chapter 24 Petitions

Section 1. Authority. The Secretary of State promulgates this chapter pursuant to W.S. 22-2-121(a).

Section 2. Independent Candidate Petitions.

(a) Independent candidates for partisan office shall be nominated by filing a petition containing the number of valid signatures required by W.S. 22-5-304 with the Secretary of State or the County Clerk not less than seventy (70) days before a General Election.

(b) The petition for nomination shall be approved for circulation by the appropriate filing office prior to collecting signatures in substantially the same form as found in W.S. 22-5-301.

Section 3. Counting of Signatures on Petitions.

(a) If the registered elector was not registered to vote on the day they signed the petition, that elector's signature shall not be counted.

(b) A signature shall not be valid if the date the petition was signed by the elector does not coincide with the circulation dates of the petition.

Section 4. Curing Defective Petitions.

(a) Petitions must have at least the minimum number of required signatures before being submitted to the appropriate filing office for signature validation.

(b) If the filing office determines that there are at least the minimum number of signatures, the filing office shall accept the petition for signature validation.

(c) After validating the petition signatures, if the number of valid signatures submitted does not meet the number required, the filing office shall contact the petitioner informing them that they have not met the signature requirement of the petition. The petition may then be cured if the petitioner submits additional valid signatures before the last date for filing.

History

Effective 2022-08-26

Chapter 25 Post Election Audit

Wyo. Code R. 002.0005.25.10222013 Post Election Audit

Wyoming Secretary of State Post Election Audit

CHAPTER 25

Section 2. Purpose. These rules are promulgated for purposes of complying with HAVA requirements and to establish standards and procedures for the post election audit of ballots using the automated tabulating equipment used to tabulate votes. These procedures are for the purpose of spot checking the operation of the automated tabulating equipment and not for the purpose of validating the conduct or outcome of any specific election. Specific election results are regulated through the canvassing process.

Section 3. Applicability. These rules apply to all chief election officers as designated in W.S. 22-2-103.

Section 4. Procedures for Conducting a Post Election Audit of Ballots.

(a) The County Clerk must conduct a random audit of ballots within thirty

(30) days of any election in which tabulating equipment was used.

(b) The County Clerk shall notify each political party of the time and date of the post election audit. Other witnesses may also be present.

(d) The post election audit must be conducted on five percent (5%) of each type of automated tabulating equipment, but not on less than one machine.

(i) The County Clerk shall randomly select five percent (5%) of the voting equipment to be tested.

(ii) The post election audit shall be conducted with a preaudited group of test ballots as described in W.S. 22-11-104(b)(iii).

(iii) The post election audit shall not be performed on the official election cards used in the election unless:

(A) Another set of election cards is not available; and

(B) The election has been certified by the County and the State Canvassing Board; and

(iv) At a minimum, tests shall be conducted to determine whether the tabulating machines accurately count ballots cast and whether the tabulating machines reject votes in excess of the number allowed by law to be cast.

(e) No canvassing data shall be erased in order to conduct the post election ballot audit.

(f) Certification of the post election audit shall be on file in the County Clerk's Office and copies shall go to the political party chairman having had candidates on the ballot and to the independent candidates on the ballot or their representatives.

(g) Should a voting machine fail the post election audit test, the County Clerk shall notify the Secretary of State in writing of the audit problem.

History

Effective 2013-10-22

Chapter 26 Special District Elections

Wyo. Code R. 002.0005.26.08192015 Special District Elections

Wyoming Secretary of State Special District Elections

CHAPTER 26

Section 1. Authority The secretary of state has authority to promulgate these rules after consultation with the county clerks under W.S. 22-29-114 and W.S. 22-29-115(b).

Section 2. Purpose. These rules shall set forth procedures for special district elections.

Section 3. Applicability. These rules shall apply to the special districts outlined in W.S. 22-29-103.

Section 4. Definitions.

(a) As used in these rules:

(i) "Absentee voting" means voting by electors who are not casting their ballot at their designated polling place on election day.

(ii) "Conventional election" means the type of special district election held in accordance with W.S. 22-29-101 through 22-29-114;

(iii) "District secretary" means the director of the district who is responsible for the compilation of minutes, notice of meetings, and other logistical matters of the district;

(iv) "Election judge" means one who presides over the polling place, handing out ballots, giving instructions, challenging, and collecting and securing ballots.

Section 5. Proclamation. Unless W.S. 22-29-101 through 22-29-114 or the Special District's principal act requires otherwise, the following procedures shall be followed:

(a) Not more than 120 and not less than 100 days before a subsequent director election, the district secretary shall publish at least once in a newspaper of general circulation in each county in which all or part of the district is situated a proclamation setting forth:

(i) The date of the election;

(ii) The offices to be filled at the election including the terms of the offices;

(iii) The terms and unexpired terms of offices to be filled;

(iv) The number of persons required by law to fill the offices;

(v) The filing period;

(vi) The address of the filing office and;

(vii) Whether the election shall be a conventional election or a mail ballot election.

(b) If the election is a conventional election then the proclamation shall:

(i) Give the address of the polling place(s) and;

(ii) State the hours that the polling place(s) will be open.

(i) That there will be no polling places;

(ii) Anyone entitled to vote shall receive a ballot with a return envelope stating the date and time the ballot must physically be in the hands of the election official.

(d) If the election involves a ballot proposition, the proclamation shall include

a description of the ballot proposition.

(e) Additional proclamations may be made by the election official.

(f) Minor errors in any proclamation shall not invalidate the forthcoming election.

Section 6. Conduct of special district elections. W.S. 22-29-101 through 22-29-114 requires the special district or districts to allow absentee voting if not held in conjunction with any other type of election governed by the Election Code. Absentee voting shall be consistent with procedures for mail ballot elections. In a conventional election, those already registered may request absentee ballots through the day before the election. In tandem with absentee voting, the election may be conducted in one of two ways:

(a) A conventional election day election requires:

(i) Polling places staffed by election judges who distribute ballots to the voters or operate an electronic voting system and;

(ii) Districts using an electronic voting system or alternate voting system shall follow the Election Code requirements for security, sealing the machine after the pre-election test, polling place regulations of the voting system and resealing of machines after the polling is completed.

(b) A mail ballot election where all the persons or entities determined to be eligible to vote are mailed ballots, which when voted, are returned to the election official and shall be safeguarded until the deadline for voting passes, which deadline shall be called election day.

(c) In applying the statutes and rules, these shall be applied in the following order: principle act, W.S. 22-29-101 through 22-29-114 and these rules for the purpose of clarification.

History

Effective 2015-08-19

Chapter 27 Central Counting Center

Wyo. Code R. 002.0005.27.03302020 § 1 Purpose and applicability

(a) Wyoming Statute § 22-2-121 requires the secretary of state to adopt rules that allow for the counting of ballots at a central counting center. These rules establish procedures for securely delivering and counting ballots at central counting centers.

(b) These rules apply only if a county clerk elects to use a central counting center during an election. If a county clerk does not elect to use a central counting center, these rules do not apply.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.27.03302020 § 2 Definitions

(a) "Central Counting Center" means a secure facility where authorized staff count ballots.

(b) "Secure Facility" means a building and/or room which only authorized staff may enter or exit.

(d) "Transportation Report" means a report that includes the following information:

(i) The name and address of the polling place;

(ii) Phone number of a designated contact located at the central counting center;

(iii) The time and date the ballots, ballot box(es), and other election related materials were picked-up from the polling place;

(iv) The serial numbers, if applicable, of the seals on any secure container;

(v) Names of the election officials transporting the material and their signatures;

(vi) Name of the chief election judge at the polling place and their signature;

(vii) Name of the designated person who will receive the ballots, ballot box(es), and other election materials, their title and signature; and

(viii) The time and date received.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.27.03302020 § 3 Establishment of Central Counting Center

(a) The county clerk shall designate a central counting center and chief election judge for the central counting center no less than four (4) weeks prior to an election.

(b) Central counting centers shall be secure facilities. County clerks shall not designate central counting centers that are not secure facilities.

(c) The county clerk shall publish notice that the clerk will use a central counting center to count ballots in a newspaper of general circulation in the county and on the county website no more than two (2) weeks and no less than one (1) week prior to an election.

(d) The county clerk shall provide ballot boxes to each polling place.

(e) The county clerk shall document how ballot boxes will be transported from polling places to the central counting center. The county clerk is responsible for ensuring that ballots are securely transported to the central counting center.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.27.03302020 § 4 Prior to the Polls Opening

Prior to the polls opening, the judges of the election shall examine each ballot box using the following procedure:

(a) Two (2) or more election judges, from different political parties, if available, shall be present during each ballot box examination.

(b) The election judges shall open the ballot box, determine that each ballot box is empty, and lock the ballot box immediately following each examination.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.27.03302020 § 5 During Polling Hours

(a) A ballot box shall not be opened during polling hours unless the ballot box becomes full. If a ballot box becomes full, election judges, from different political parties, if available, may open the ballot box to rearrange the ballots.

(b) Should the box be too full to sufficiently rearrange the ballots, two (2) election judges, from different political parties, if available, shall follow the following steps:

(i) Remove ballots to a secure container;

(ii) Lock and seal the ballots in the secure container;

(iii) Complete, sign, date and time stamp a form stating that the ballots were removed; and

(iv) Relock the ballot box(es).

History

Effective 2020-03-30

Wyo. Code R. 002.0005.27.03302020 § 6 After the Polls Close

(a) Two (2) or more election judges, from different political parties, if available, shall seal the ballot box(es) or secure containers immediately upon the closing of the polls and record how many ballot boxes or secure containers are to be transported.

(b) The chief election judge of each polling place shall prepare a transportation report to provide the chief election judge of the central counting center. The chief election judge of the central counting center may designate a person to receive transportation reports.

tabulation at the central counting center. The following records shall be returned with the ballots, ballot box(es), secure containers, and transportation report:

(i) All ballots cast, including provisional ballots;

(ii) Spoiled ballots;

(iii) Unused ballots;

(iv) Affidavits, registration application form and oaths where required;

(v) Oaths of judges of election;

(vi) Statement on ballots being removed, if applicable; and

(vii) Any other documents requested by the county clerk.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.27.03302020 § 7 Transportation to Central Counting Center

(a) The ballot box(es) and secure containers shall be transported by two (2) election judges, from different political parties, if available, in the same vehicle. If traveling together is impractical, one may follow in a separate vehicle.

(b) Ballot box(es) and secure containers shall be transported to the central counting center in an enclosed vehicle or enclosed trailer that is capable of being locked.

(c) Upon arrival to the central counting center, the election judges shall provide the transportation report to the chief election judge of the central counting center or their designee.

(d) The individual listed on the transportation report shall receive the ballot

box(es), secure containers, and other election materials and shall verify and sign the transportation report.

(e) If a discrepancy is found within the transportation report, the individual

shall notify the county clerk immediately.

History

Effective 2020-03-30

Wyo. Code R. 002.0005.27.03302020 § 8 Procedures for Counting

(a) The counting board shall run the ballots through the counter and verify

that the total ballots match the total number of voters recorded in the pollbook. When the ballots and pollbook are in agreement, the votes shall be counted for the precinct.

(b) If there is a discrepancy between the number of ballots cast and voters recorded in the pollbook, the election judges shall attempt to determine the discrepancy. If the election judges cannot determine the discrepancy, the county clerk and, if necessary, the county canvassing board, shall resolve the discrepancy.

(c) After the votes have been counted, the counting board shall certify the following information with the pollbook and shall report to the county clerk:

(i) The numbers of electors voting in person and by absentee ballot in

the precinct at the election;

(ii) In the primary election, the total number of electors voting in the

precinct in each political party;

(iii) The full name of each candidate receiving votes;

(iv) The office the candidate is seeking;

(v) The number of votes cast for each candidate;

(vi) The official designation or number of each ballot proposition and

the number of votes for and against it; and

(vii) Any write-in candidates that affected the outcome of the election.

(d) The counting board shall seal and lock the ballots after the unofficial

results are received.

History

Effective 2020-03-30

Chapter 28 Direct Coordination

Wyo. Code R. 002.0005.28.04112022 Direct Coordination

Chapter 28 Direct Coordination

Section 1. Authority. The Secretary of State is authorized to promulgate these rules under W.S. 22-25-102(a).

Section 2. Applicability. This chapter applies to Wyoming political action committees and political parties that accept any contribution from an organization as provided in W.S. 22-25-102(a), as well as all candidates, and candidate campaign committees, as defined in W.S. 22-1-102(a). This chapter does not apply to any Wyoming political action committee or political party that has not received any contribution from an organization.

Section 3. Definition of direct coordination. For the purposes of W.S. 22-25-102(a), "direct coordination" means any of the following:

(a) Any contribution of funds, other items of value, or election assistance from a political action committee or political party to a candidate or a candidate's campaign committee resulting from an actual or implied agreement;

(b) Communication between a candidate or candidate's campaign committee and a political action committee or political party for the purpose of aiding the election of a candidate, limited to the following:

(i) Requesting or suggesting a contribution or expenditure of funds, other items of value, or election assistance by a political action committee or political party to, or on behalf of, a candidate or a candidate's campaign committee, including in-kind contributions or expenditures;

(ii) Requesting or suggesting a contribution or expenditure of funds, other items of value, or election assistance by a candidate or any officer of a candidate's campaign committee to, or on behalf of, a political action committee or political party, including in-kind contributions or expenditures;

(iii) A political action committee or political party republishing, disseminating, or distributing, in whole or part, any campaign material or advertisement created or prepared by the candidate or candidate's campaign committee;

(iv) A political action committee or political party spending funds based on non-public information that:

(A) Originated from the candidate, that candidate's campaign committee, an entity that received the non-public information from the candidate or that candidate's campaign committee, or any agent thereof; and

(B) Is used for the benefit of, or to further the candidate's interests.

(v) Any written, verbal, or electronic discussion between a candidate or officer of a candidate's campaign committee and a political action committee or political party regarding campaign strategy, campaign funding, or campaign advertising for the candidate's campaign.

Section 4. Complaint procedures. Any person suspecting a violation of W.S. 22-25-102(a) by a political action committee or political party may file a written complaint in accordance with W.S. 22-26-121 and shall include any supporting documentation of the alleged violation, along with the complaint.

History

Effective 2022-04-11

Chapter 29 Voting Systems

Wyo. Code R. 002.0005.29.10262020 § 1 Authority and Purpose

The Secretary of State, pursuant to W.S. 22-2-121, is authorized to promulgate such rules as are necessary to maintain uniform voting, vote counting procedures and orderly voting and to comply with the requirements of the Help America Vote Act of 2002 (HAVA), Public Law 107-252. These rules apply to Ballot Marking Devices, Ballot Tabulation Devices, and Ballot Printing Devices used by voters and by all election officials with responsibilities as designated in W.S. 22-8-101, et seq.

History

Effective 2020-10-26

Wyo. Code R. 002.0005.29.10262020 § 2 Definitions

(a) "Ballot Marking Device" means any piece of voting equipment that allows a voter to mark their choices on a screen, commonly referred to as a touchscreen, and when the voter has finished marking their ballot, their choices will print on a paper ballot for tabulation.

(b) "Ballot Printing Device" means any piece of voting equipment that produces a paper ballot of the required ballot style that meets the needs of a specific voter on an as needed basis.

History

Effective 2020-10-26

Wyo. Code R. 002.0005.29.10262020 § 3 Ballot Marking Device

(a) A ballot marking device enables voters, including voters with disabilities, to mark their ballots independently. Any voter may ask to use a ballot marking device.

(b) The following shall occur when a voter inserts a paper ballot into a ballot marking device:

(i) The correct ballot style shall appear either by an election judge choosing the correct ballot style or by scanning a pre-printed activation card.

(ii) The voter makes their selections by touching the screen or by touching the navigation and entry buttons;

(iii) The device shall allow the voter to change their candidate choice before marking their ballot;

(iv) The device shall notify the voter they cannot cast an overvote, if attempted;

(v) The device shall return a blank ballot to the voter;

(vi) The selections chosen by the voter shall be marked on the paper ballot and either provided back to the voter for the voter to place the ballot into a ballot tabulation device or automatically sent through a ballot tabulation device and dropped into a secure ballot box; and

(vii) The device shall allow the voter to write in the name of a candidate who does not appear on the ballot.

History

Effective 2020-10-26

Wyo. Code R. 002.0005.29.10262020 § 4 Ballot Printing Device

(a) The County Clerk may use a ballot printing device supplied by a voting equipment vendor to print ballots for any election.

(b) The ballots printed must comply with the requirements of W.S. 22-6-115 through 22-6-127 and shall be printed in such a manner that meets the specifications of the device manufacturer.

(c) The County Clerk shall have written procedures to protect the security and inventory of all blank paper stock used by printing ballots on the ballot printing device.

(d) The ballot printing device shall be certified by the Secretary's Office and in compliance with HAVA.

History

Effective 2020-10-26

Wyo. Code R. 002.0005.29.10262020 § 5 Ballot Tabulation Device

(a) A ballot tabulation device shall scan a ballot and record the results for each candidate, write-in candidate, ballot issue, and other election and precinct information on an encrypted USB flash drive.

(b) The ballot tabulation device shall notify the voter if the voter has cast an overvote in any race or if the voter has voted a blank ballot. After being notified, the voter shall be allowed to continue voting their ballot or return the ballot to the election judge and ask for a replacement ballot.

(c) County clerks shall adhere to the following requirements surrounding the use of ballots read by a ballot tabulation device:

(i) Ballots must be printed on paper stock approved or recommended by the ballot tabulation device manufacturer or printed by a qualified printer approved by the manufacturer of the device;

(ii) Upon receipt of ballots from the printer, the County Clerk must check ballots for accuracy;

(iii) Ballots must be housed in a secure location with limited access. The County Clerk will prevent unauthorized access to official election ballots;

(iv) Ballots will be counted and recorded on a written inventory:

(A) When delivered from the printer;

(B) As they are used for test decks and absentee voting; and

(v) The election judges shall count and record on a written inventory the number of ballots received, spoiled and voted at the polling place. The polling place inventory shall be delivered to the County Clerk following the election.

(d) For write-in instructions, see Chapter 19, Rules for Write-Ins.

History

Effective 2020-10-26

Wyo. Code R. 002.0005.29.10262020 § 6 Preparation and Logic and Accuracy (L&A) Testing

(a) Preparation and L&A testing of the ballot marking, ballot printing, and ballot tabulation devices may begin after:

(i) the official ballot has been programmed and proofed;

(ii) the County Clerk has accepted the visual and audio databases; and

(iii) the official ballots have been received from the printer.

(b) Encrypted USB flash drives for the ballot marking and ballot tabulation devices shall be created from the accepted ballot database for each ballot marking device to be used in the election.

(i) Blank ballots are returned to the voter for action;

(ii) Over-voted ballots are returned to the voter for action;

(iii) If the voter under-voted a race or races, the ballot will not be returned to the voter, but will be automatically accepted by the machine; and

(iv) Write-in votes shall be available for review in a report.

(d) Ballots produced using a ballot on demand printer must be tested as specified by the manufacturer and by the County Clerk using the voting equipment they will be tabulated on. The County Clerk shall retain a marked test deck of ballots whether printed from the vendor or the ballot on demand printer.

(e) The County Clerk shall hold a public L&A test of the voting equipment before any ballot tabulation device is used. The County Clerk shall notify in writing, as specified in W.S. 22-10-108, the chairman of each political party and all independent candidates informing them of the date, time, and place for testing the ballot marking and ballot tabulation devices. Other witnesses may be present.

(f) Ballot marking devices shall be tested for logic and accuracy as follows:

(i) Affirm that the voter can change their candidate choice before marking their ballot;

(ii) Affirm that a voter cannot over vote;

(iii) Affirm that a blank ballot is returned to the voter;

(iv) Affirm that the ballot is accurately marked;

(v) Affirm that the audio is clearly recorded, understandable, and usable with the touch pad; and

(vi) Affirm that the ballot marked by the ballot marking device is accurately read by the ballot tabulation device.

(g) Prior to and following the public test and prior to dispatching the equipment to the polling locations, the following inventory and security precautions shall be taken:

(i) One encrypted USB flash drive shall be created from the accepted database for each ballot tabulation device to be used in the election;

(ii) A backup of the election shall be available and secured by the County Clerk;

(iii) The County Clerk shall generate a testing certificate for each device, both the ballot marking and ballot tabulation device according to the following specifications:

(A) The certificate shall include the following for the ballot marking device:

(I) The number of the seal on the USB access door; and

(II) The signature of the County Clerk and the representatives of each major political party, if any, that are present for the public L&A test.

(B) The certificate shall include the following for the ballot tabulation device:

(I) Precinct or Polling location and serial number of ballot tabulation device;

(II) The location of each non-removable seal on the ballot tabulation device and bin and its corresponding seal number, which includes the encrypted media stick;

(III) A notation that the device was set to zero (0000); and

(IV) The signature of the County Clerk and representatives of each major political party, if any, that are present for the public L&A test.

(h) Each certificate shall be kept on file in the County Clerk's Office for a minimum of 22 months or until any election contest affected by the ballots has concluded, whichever is later.

(i) The County Clerk may require all witnesses to the public L&A test to sign an attendance sheet that attests to their presence and witnessing of the testing of the voting systems equipment.

(j) All documentation of incidents occurring with either the ballot marking or the ballot tabulation device shall be retained by the County Clerk's Office.

(k) The ballot marking and ballot tabulation devices shall be stored in a secure facility, meeting manufacturer's specifications, with controlled access to only authorized personnel.

(l) A standard requirement for placement of security seals and an L&A checklist for the ballot marking and ballot tabulation devices shall be provided by the Secretary of State's office.

History

Effective 2020-10-26

Wyo. Code R. 002.0005.29.10262020 § 7 Certification to the Secretary of State

The County Clerk shall attest in writing to the Secretary of State, on a form prescribed by the Secretary of State's office, that the ballot on demand printers have been tested and are ready for the election and that their ballot marking and ballot tabulation devices have been publicly tested, have passed L&A testing, and are ready for the election.

History

Effective 2020-10-26

Chapter 30 Early Processing of Absentee Ballots

Wyo. Code R. 002.0005.30.10212022 Early Processing of Absentee Ballots

Chapter 30 Early Processing of Absentee Ballots

Section 1. Authority. These rules are authorized by W.S. 22-9-125(d)(vi).

Section 2. Early Processing of Absentee Ballots.

(a) When a county clerk elects to prepare and process absentee ballots the Thursday or Friday immediately preceding election day under W.S. 22-9-125(d), the county clerk shall:

(i) Provide notice of the date, time and place that absentee ballot preparation and processing will occur to the secretary of state, and the chairman of each political party. The notice shall occur in writing or electronically by email and shall be given at least two (2) days prior to the date(s) the county clerk intends to prepare or process absentee ballots;

(ii) Require all observers and election judges to complete a form attesting they are not a candidate, candidate's committee chairperson or treasurer before observing preparation and processing;

(iii) Accommodate public viewing of the early processing of absentee ballots. The county clerk shall not be required to make special accommodations or seek a larger venue than that is used for the processing of absentee ballots on election day; and

(iv) Designate an absentee ballot preparation and processing area. Observers shall remain at least ten (10) feet away from this area while absentee ballots are being processed.

(b) Election judges appointed for the purpose of the early processing and preparation of absentee ballots shall not allow the votes cast on a particular ballot to be readily viewable by any observer.

(i) Conduct themselves in a professional manner and address all questions to an election judge;

(ii) Not interfere with the processing of absentee ballots;

(iii) Not handle any ballots or election materials;

(iv) Not ascertain the votes cast on any ballot;

(v) Wear an official badge at all times while in the processing area; and

(vi) Not take pictures, record video or audio or use any personal electronic device (PED), except a device for medical necessity, within ten (10) feet of the absentee ballot preparation and processing area. As used in this section, "Person Electronic Device," means any device capable of capturing, communicating, transmitting, receiving or recording messages, images, audio, data or other information, including but not limited to a computer, tablet, cellphone, camera or Bluetooth device.

(d) Election judges appointed for the early processing and preparation of absentee ballots shall:

(i) Not have in their possession any PED, except a device for medical necessity, within ten (10) feet of the area where the preparation and processing is occurring;

(ii) Wear an official badge at all times while in the ballot processing area or while observing the early preparation or processing of absentee ballots; and

(iii) Not discuss or release in any manner, any information related to the results of the election.

History

Effective 2022-10-21

233 General Agency, Board or Commission Rules

Chapter 1 Contested Case Practice and Procedure

Wyo. Code R. 002.0007.1.04262019 § 1 Purpose and Authority

These rules shall govern contested case proceedings before the Secretary of State, and shall be relied upon by hearing officers, adjudicative agencies, and parties in contested cases. These rules are promulgated by authority of Wyoming Statute (W. S.) § 16-3-102.

History

Effective 2019-04-26

Wyo. Code R. 002.0007.1.04262019 § 2 Incorporation By Reference

The Office of Administrative Hearings; General Agency, Board or Commission Rules; Chapter 2, Contested Case Proceedings (https://rules.wyo.gov Wyoming Administrative Rule Reference Number 270.0001.2.07202017) is incorporated by reference except as noted in Section 3 of these rules. The incorporation by reference does not include later amendments or editions to the incorporated matter.

History

Effective 2019-04-26

Wyo. Code R. 002.0007.1.04262019 § 3 Exceptions From Uniform Rules

The rules incorporated in Section 2 shall not apply to administrative procedures conducted by the Office of the Secretary of State for the following:

(a) Complaint Procedures as governed by the Help America Vote Act of 2002 (hereafter "HAVA"), 107 P.L. 252, Sec. 402, and W. S. § 22-2-121(b) and (d) and the Secretary of State's Election Procedures rule, Chapter 1 Rules for State-Based Administrative Complaint Procedure. (https://rules.wyo.gov Wyoming Administrative Rule Reference Number 002.0005.1.10062004)

(b) Refusal to file a trademark or service mark as described in the Secretary of State's Trademark Act rules, Chapter 2 Refused Mark Application. (https://rules.wyo.gov Wyoming Administrative Rule Reference Number 002.0020.2.07011997)

History

Effective 2019-04-26

Chapter 2 Printing Fees

Wyo. Code R. 002.0007.2.04262019 § 1 Purpose and Authority

This rule shall set the fee charged for the Constitution of the State of Wyoming as authorized in Wyoming Statute § 9-1-303(f).

History

Effective 2019-04-26

Wyo. Code R. 002.0007.2.04262019 § 2 Fees for Printed Copies of the Constitution

The Secretary of State shall make available to the public, a printed copy of the Constitution of the State of Wyoming at a cost of $2.00 each.

History

Effective 2019-04-26

Chapter 3 Uniform Procedures, Fees, Costs, and Charges for Inspection, Copying, and Producing Public Records

Wyo. Code R. 002.0007.3.04262019 § 1 Purpose and Authority

The Secretary of State adopts the Department of Administration and Information's uniform rule pertaining to procedures, fees, costs, and charges for inspecting, copying, and producing public records pursuant to Wyoming Statute § 16-3-103(j)(ii).

History

Effective 2019-04-26

Wyo. Code R. 002.0007.3.04262019 § 2 Adoption of Uniform Rules

The Department of Administration and Information, Director's Office Rule, Chapter 2, Uniform Procedures, Fees, Costs, and Charges for Inspection, Copying, and Producing Public Records (https://rules.wyo.gov Wyoming Rule Reference Number 006.0011.2.09062016) is incorporated by reference. This incorporation by reference does not include any later amendments or editions of the incorporated matter.

History

Effective 2019-04-26

237 Lobbyist Disclosure Act

Chapter 1 Lobbyist Registration, Reporting, and Other Requirements

Wyo. Code R. 002.0011.1.09062019 § 1 Authority

These rules are promulgated pursuant to the authority granted the Secretary of State in W.S. 28-7-201 (h) to adopt such rules and regulations.

History

Effective 2019-09-06

Wyo. Code R. 002.0011.1.09062019 § 2 Definitions

(a) "Gift" means anything of value to the extent that consideration of equal or greater value is not received.

(b) "Gratuity" means an item given voluntarily in return for, or in anticipation of, a service.

(c) "Hospitality" means a reception or social event in connection with a business meeting, convention or lobbyist activities.

(d) "Loan" means money lent for temporary use to be repaid with or without interest.

(e) "Registration period" means May 1 through April 30.

(f) "Sources of Funding" means the person or organization, who provided the funds required to be itemized under W.S. 28-7-201(d), for each loan, gift, gratuity, special discount, hospitality, special event or function, paid or given to or on behalf of a legislator, state elected official or state employee.

(i) A lobbyist may be his or its own source of funding.

(ii) Membership dues and donations to nonprofit corporations are not sources of funding.

(g) "Special Discount" means anything of value given or received at a price or consideration that ordinarily would not be available to a member of the public or as a promotional group rate.

History

Effective 2019-09-06

Wyo. Code R. 002.0011.1.09062019 § 3 Registration Information

(a) New registrations and renewals shall only be filed beginning April 1 for the next lobbyist registration period.

(b) If an individual lobbyist represents an organization which, in turn, represents additional organizations, the lobbyist, when registering, shall indicate both the main organization and each sub-organization the lobbyist is representing.

History

Effective 2019-09-06

Wyo. Code R. 002.0011.1.09062019 § 4 Lobbyist Activity Report

(a) Filing Date. All lobbyist activity reports and any statements of receipt and expenditure reports required by W.S. 28-7-201(k) shall be filed no later than June 30 for activities during the preceding year May 1 through April 30.

(b) Filing Method. All reports required under the Lobbyist Disclosure Act may be filed via traditional filing, email or other mechanism approved by the Office within the time limit specified in the Act.

(i) A lobbyist who has incurred total lobbyist expenses equal to or greater than five hundred dollars ($500.00) shall file an expense report.

(ii) If the total amount of lobbyist expenditures for reportable expenditures under W.S. 28-7-201(d) and (e) is equal to or greater than five hundred dollars ($500.00), itemization of such expenses is required.

History

Effective 2019-09-06

Wyo. Code R. 002.0011.1.09062019 § 5 Referral to law enforcement

Any person or individual having evidence of a violation of the registration or filing requirements for lobbyists may file a report with the appropriate local law enforcement agency or with the Attorney General's Office.

History

Effective 2019-09-06

238 Notary Rules

Chapter 6 Notarial Acts

Wyo. Code R. 002.0012.6.12022021 § 1 Authority & Purpose

These rules are promulgated pursuant to Wyoming Statute § 32-3-125 of the Wyoming Revised Uniform Law on Notarial Acts ("Act"). The purpose of the Act is to set forth a commissioning process and regulation of all notarial acts under Wyoming law. The Secretary of State is establishing these rules to comply with the Act.

History

Effective 2021-12-02

Wyo. Code R. 002.0012.6.12022021 § 2 Identification Credential

For the purpose of evidencing a person's identity for satisfactory evidence, the identification credential shall comply with W.S. § 32-3-102(a)(xiv) and shall contain a photograph of the principal or the credible witness(es).

History

Effective 2021-12-02

Wyo. Code R. 002.0012.6.12022021 § 3 Notary Journal

(a) Upon discovering that the notary public's journal is lost or stolen under W.S. §32-3-118(j), the notary public shall promptly notify the Secretary of State by sending an email to notaries@wyo.gov. If a notary public does not have access to email, they shall send a letter to the Compliance Division of the Wyoming Secretary of State at 122 West 25th Street, Suite 100, Cheyenne, WY, 82002-0020.

(b) Nothing in these statutes or rules shall prevent a person, as defined in W.S. § 32-3-102(a)(xxiv), from implementing additional retention and journal content requirements.

History

Effective 2021-12-02

Wyo. Code R. 002.0012.6.12022021 § 4 Remote Notarizations

(a) For all remote notarizations, the notarial certificate shall include the name of the electronic notarization system or other form of communication technology used to perform the notarial act.

(b) Nothing in these statutes or rules shall prevent a person, as defined in W.S. § 32-3-102(a)(xxiv), from requiring a specific electronic notarization system rather than another form of communication technology.

(c) Nothing in these statutes or rules shall prevent a person, as defined in W.S. § 32-3-102(a)(xxiv), from implementing additional retention requirements for the audio/visual recording of the notarial act.

History

Effective 2021-12-02

Wyo. Code R. 002.0012.6.12022021 § 5 Education Requirements

. A notary public shall review the Notary Education Presentation that is located on the Wyoming Secretary of State's website at https://sos.wyo.gov/Services/Notaries.aspx for every term. They shall certify that the presentation has been completed on their application.

History

Effective 2021-12-02

Wyo. Code R. 002.0012.6.12022021 § 6 Travel fees

(a) Pursuant to W.S. § 32-3-126(d)(iii), a notary does not have to refund travel fees that were paid prior to performing a notarial act in the following circumstances:

(i) Any reason that gives the notarial officer the authority to refuse to perform a notarial act under W.S. § 32-3-112; or

(ii) If the principal cancels the notarial act with less than a 24-hour notice.

(b) A notary shall refund the travel fee if the notarial officer cancels and does not compete the notarial act.

History

Effective 2021-12-02

249 Registered Offices and Agents Act

Chapter 1 General Provisions

Wyo. Code R. 002.0023.1.09222021 § 1 Authority and Purpose

The secretary of state is adopting these rules to promote the uniform administration of the Registered Offices and Agents Act, (the Act). The secretary of state is authorized to promulgate rules pursuant to W.S. 17-28-111.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.1.09222021 § 2 Applicability

These rules apply to all registered agents and all business entities required by law to file with the secretary of state.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.1.09222021 § 3 Definitions

(a) "Bona fide law enforcement agency" means a law enforcement agency, foreign or domestic, that is investigating a potential criminal violation by a business entity or a registered agent.

(b) "Business address" means the physical street address of the communications contact person.

(c) "Business entity" means a corporation, limited liability company, limited partnership, registered limited liability partnership, limited liability limited partnership, or statutory trust or statutory foundation, whether for profit or nonprofit, or any other business type that is required to register with the secretary of state.

(d) "Business office" means registered office as defined by W.S. 17-28-101(a)(i) and these rules.

(e) "Commercial Registered Agent" or "CRA" means a registered agent which serves for more than ten (10) entities, or a registered agent which serves as a registered agent for an entity which is itself a Commercial Registered Agent.

(f) "Consent form" means a form prescribed by the secretary of state, which is required to be filed with the secretary of state, upon which a business entity verifies that it has elected to file the required records pursuant to W.S. 17-28-107(b).

(g) "Contract creating an agency relationship" see "written agreement creating an agency relationship."

(h) "Court ordered subpoena" means a validly issued subpoena from a court of competent jurisdiction. A "court ordered subpoena" does not mean a subpoena issued by an attorney, as allowed by court rules.

(i) "Delinquent awaiting administrative dissolution" means the status of a business entity when its registered agent has resigned and no successor has been appointed to represent the business entity.

(j) "Domestic entity" means a business entity formed in Wyoming.

(k) "Each violation" means each instance where the Act is violated by a registered agent per each business entity represented. As applied, if a registered agent represents five (5) entities and violates the Act in the same way for each entity, each violation would equate to five (5) separate violations of the Act.

(l) "Entity" or "entities" means business entity or business entities.

(m) "Foreign" means an entity not formed under Wyoming law.

(n) "Mailing address" means an address where mail is received and it may be separate from the physical street address. The mailing address may be a post office box.

(o) "Natural person" means an individual who is not a business entity, association, or other legal or commercial entity.

(p) "Notice of resignation" means the notice that a registered agent sends to the business entities they represent to inform those entities that they are resigning.

(q) "Physical location" means the physical street location of the registered office, which is not a post office box or a drop box.

(r) "Physical street address" or "street address" means physical street location of the registered office, which is not a post office box or a drop box.

(s) "Place of business" as referenced in W.S. 17-28-101 means any location that has a street address in Wyoming, which is not a post office box or a drop box.

(t) "Principal office" means the principal place of business for the entity, regardless of location, and which may be, but does not need to be, a registered office.

(u) "Record" means any information as defined by W.S. 17-28-107 and 108.

(v) "Registered agent" means an individual or business entity as defined by W.S. 17-28-101(a)(ii). Each registered agent shall have only one name and registered office address on file with the secretary of state.

(w) "Registered office" means an address that may be the same as any of its places of business but shall be located at a street address in Wyoming which shall be a physical location where the business entity's registered agent, or a natural person who has an agency relationship with the registered agent, can accept service of process as provided in W.S. 17-28-104 and is physically present at that location, which is not a post office box or drop box.

(x) "Sign" or "signature" includes any manual, facsimile, conformed or electronic signature.

(y) "Statement of resignation" means a statement of resignation filed with the secretary of state.

(z) "Thirty days" means thirty (30) calendar days.

(aa) "Thirty-five days" means thirty-five (35) calendar days.

(bb) "Written agreement creating an agency relationship" means any written document that establishes or grants authority to one or more natural persons or to one or more particular positions, such as a receptionist, to accept service of process for the registered agent for the entities served by that registered agent. Such document may be, but is not limited to, a contract, a letter agreement, or a clause within an employment contract. A single document may serve as authorization for each natural person representing the registered agent without listing each natural person individually.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.1.09222021 § 4 Fees

(a) Annual registration of Commercial Registered Agent $50.00

(b) Registered Agent Information Update $5.00 per affected entity

(d) Appointment of New Registered Agent and Office $5.00

History

Effective 2021-09-22

Wyo. Code R. 002.0023.1.09222021 § 5 Denial of Consent to Appointment

(a) If the incorporator, organizer, or other person serving in similar capacity of a business entity fails to obtain the registered agent's express consent to appointment and fraudulently asserted the same in the online formation documents for a business entity, then the registered agent may file a Denial of Consent to Appointment at any point after discovering the fraud.

(b) After receiving and validating the Denial of Consent, the secretary of state shall:

(i) Remove the registered agent's name, address, and other contact information from the business entity's information; and

(ii) Notify the business at the last known mailing or email address.

History

Effective 2021-09-22

Chapter 2 Registered Agent Appointments, Resignations, Updates and Other Filings

Wyo. Code R. 002.0023.2.09222021 § 1 Appointment of New Registered Agent and Office

(a) A business entity may change its registered agent by signing and delivering to the secretary of state for filing an Appointment of New Registered Agent and Office form along with a written Consent to Appointment by Registered Agent which shall include the following information:

(i) The name of the business entity;

(ii) The name of the current registered agent;

(iii) The street address of its current registered office;

(iv) The name of the new registered agent;

(v) The street of the new registered office; and

(vi) The new registered agent's written consent to appointment.

(b) The form need not be on the secretary of state's form provided all information in this section is included. The form may be rejected if it is not legible or complete.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.2.09222021 § 2 Resignations

(a) Statement of Resignation - No Successor

(i) The Statement of Resignation of a Registered Agent is effective when it is filed with the secretary of state. This Statement of Resignation shall not be filed until:

(A) At least thirty (30) days following the date that the notification of resignation was received by each entity at its address last known to the registered agent;

(B) Thirty-five (35) days following mailing of the notification of resignation to each entity at its address last known to the registered agent; or

(C) The business entity provides notice to the registered agent that their services are terminated. A copy of this notice shall be provided to the secretary of state along with the Statement of Resignation.

(ii) One signed original and one copy of the Statement of Resignation shall be filed with the secretary of state.

(iii) The Statement of Resignation shall:

(A) List each entity from which the registered agent is resigning. The list shall not contain more than twenty-five (25) entities; and

(B) Include the printed or typed name and title of the registered agent.

(iv) The Statement of Resignation may include a statement that the registered office is also discontinued, if applicable.

(v) The Statement of Resignation may but need not be on the secretary of state's form provided all information contained in this section is included. The Statement of Resignation may be rejected if it is not legible or complete.

(b) Statement of Resignation - Successor Appointed

(i) A registered agent may resign and appoint a new registered agent to take their place. The registered agent that is resigning shall sign, date and file with the secretary of state the original and one copy of a Statement of Resignation of Registered Agent Successor Appointed and Change of Entity's Registered Agent and Office with the following information:

(A) A list of all entities from which the registered agent is resigning;

(B) A statement from each affected entity ratifying and approving the appointment of the new registered agent;

(D) A statement from the new registered agent certifying their compliance with the requirements of the Act and acknowledging their appointment to serve as a registered agent for the entities listed;

(E) The Statement of Resignation shall include the printed or typed name and title of both the new registered agent and the current registered agent;

(F) The Statement of Resignation of Registered Agent and Appointment of New Registered Agent and Office may but need not be on the secretary of state's form provided all information contained in this section is included. The form may be rejected if it is not legible or complete.

(ii) The current registered agent's appointment shall be terminated upon the filing of the required form, and the new registered agent, and new registered office if applicable, shall become effective on the date the form was filed.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.2.09222021 § 3 Registered Agent Information Update

(a) A registered agent may change their legal name and/or registered office by signing and delivering to the secretary of state for filing, a Registered Agent Information Update which shall include the following information:

(i) The current name of the registered agent;

(ii) The new name of the registered agent, if applicable;

(iii) The street address of its current registered office;

(iv) The street address of the new registered office, if applicable;

(v) A statement that the new registered office complies with the requirements of the Act; and

(vi) A statement that the street address of the registered office and the street address of the business office of its registered agent will be identical.

(b) The form need not be on the secretary of state's form provided all information in this section is included. The form may be rejected if it is not legible or complete.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.2.09222021 § 4 Consent to Appointment by Registered Agent

(a) The secretary of state may prescribe forms for consent to appointment of a registered agent.

(b) The written Consent to Appointment by the Registered Agent form shall contain:

(i) The name of the entity represented;

(ii) A statement by the registered agent that they voluntarily consent to the position;

(iii) The printed name and title of the person signing;

(iv) A signature and date by the registered agent, who is a natural person; if the registered agent is a business entity, then it must be signed by an officer, director, partner, manager, or other person authorized to bind the entity on such matters; and

(v) A statement by the registered agent which certifies that they are in compliance with W.S. 17-28-101 through 17-28-111.

(c) The written Consent to Appointment by Registered Agent need not be on the secretary of state's form provided all information in this section is included. The form may be rejected if it is not legible or complete.

History

Effective 2021-09-22

Chapter 8 Actions Against Registered Agents

Wyo. Code R. 002.0023.8.09222021 Actions Against Registered Agents

Chapter 8 Actions Against Registered Agents

Section 1. Penalties.

(a) The secretary of state may impose up to a $500 civil penalty for each violation of the Registered Offices and Agents Act (the Act), pursuant to the grounds cited in W.S. 17-28-109.

(b) The secretary of state may deny or revoke any registration of a Commercial Registered Agent, pursuant to the grounds cited in W.S. 17-28-109.

(c) The secretary of state may require enhanced record keeping of any registered agent, pursuant to the grounds cited in W.S. 17-28-109(d). The secretary of state may refuse to accept filings for business entities served by a registered agent pursuant to the grounds cited in W.S. 17- 28-109.

(d) If the secretary of state determines that a registered agent has not complied with the duties required in W.S. 17-28-101 and these rules, the following actions may be taken by the Secretary of State's Office:

(i) The registered agent shall be notified through the email they provided at the time of registration of their failure to comply; and

(ii) The registered agent shall be provided fifteen (15) days to rectify their deficiency;

(iii) If the registered agent fails to rectify their deficiency in the time presented, they shall be removed as the registered agent for any businesses they represent at which time the business(es) will be considered delinquent.

(iv) The registered agent shall be administratively actioned and ineligible to represent further entities until compliance is achieved.

Section 2. Contested Case Hearing Incorporation by Reference.

(a) The hearing officer shall preside over the formal contested case hearing which shall be conducted pursuant to the Wyoming Administrative Procedure Act and the Office of Administrative Hearings rules concerning contested case proceedings which are incorporated by reference.

(b) For the rule incorporated by reference in these rules:

(i) Reference is Chapter 2 - Contested Case Proceedings adopted by the Office of Administrative Hearings and effective on July 20, 2017, found at: https://rules.wyo.gov/Search.aspx?RefNum=270.0001.2.07202017;

(ii) The secretary of state has determined that incorporation of the full text in these rules would be inefficient given the nature of the rules;

(iii) The incorporation by reference does not include any later amendments or editions of the incorporated matter beyond the applicable date identified in this section; and

(iv) The incorporated rule is maintained at the Secretary of State's Office and is available for public inspection and copying at no cost.

History

Effective 2021-09-22

Chapter 9 Registered Agent Requirements

Wyo. Code R. 002.0023.9.09222021 § 1 Duties

(a) A registered agent shall:

(i) Comply with the Registered Offices and Agents Act, W.S. 17-28-101 et seq. (the Act);

(ii) Maintain a registered office that is a physical location at a street address and not a post office box or a drop box;

(iii) Be physically present at the registered office during business hours, or shall have a natural person, who has an agency relationship with the registered agent and who is authorized to accept service of process on behalf of the entities served by the registered agent, physically present at the registered office;

(iv) Keep a copy of the written agreement creating an agency relationship between the registered agent and the natural person who is authorized to accept service of process on behalf of the business entities represented by the registered agent;

(v) Keep a copy of the name, address and phone number of the communications contact person, as required by W.S. 17-28-104(d), unless the registered agent and entity agree that such information be filed with the secretary of state, and they comply with W.S. 17-28-107(b); and

(vi) Register as a Commercial Registered Agent if the agent serves as a registered agent for more than ten (10) entities, including a registered agent which serves as a registered agent for the entities served by another Commercial Registered agent.

(vii) In the event of an emergency which prevents a natural person from being physically present at the registered office, a sign shall be posted in a prominent location providing a phone number where a natural person can be reached who can immediately complete all duties required by a registered agent.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.9.09222021 § 2 Record Keeping

(a) The registered agent shall maintain records at the registered office as provided by W.S. 17-28-107(a)(v); or

(b) If the registered agent and entity agree, the entity shall file the information required by W.S. 17-28-107(a)(v) (A) and (B) with the secretary of state.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.9.09222021 § 3 Communications Contact Person

(a) Every entity shall provide to its registered agent or the secretary of state as provided in W.S. 17-28-107(b), the following information:

(i) The name of a natural person who is:

(A) An officer authorized to receive communications from the registered agent;

(B) A director authorized to receive communications from the registered agent; or

(D) The designated communications contact for the entity shall not be the entity's registered agent or an employee of the entity's registered agent unless the registered agent is the entity's officer, director, limited liability company member or manager, managing partner or trustee.

(ii) The business address of the natural person; and

(iii) The phone number of the natural person.

(b) A natural person shall be the designated communications contact person for the entity.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.9.09222021 § 4 Production of Records

(a) A record shall:

(i) Contain all information required by law and these rules;

(ii) Be written or, if electronic, be able to be immediately printed;

(iii) Be in English, as appropriate; and

(iv) Be legible.

(b) All records that are required to be kept by the registered agent shall be:

(i) Maintained in paper format at the physical office; or

(ii) Maintained in electronic format if they can be either printed or downloaded onto a recordable device, or other medium approved by the secretary of state, upon request;

(iii) Available via remote access if the registered agent can produce the records in a time frame and format consistent with the time frames associated with (i) and (ii) above.

(c) The secretary of state or their representatives shall have access to records as provided by W.S. 17-28-107(a)(v). The secretary of state has the discretion to allow a registered agent time to produce records, depending upon individual circumstances.

(d) The secretary of state or their representatives may examine these records and compel their production as provided by W.S. 17-28-108.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.9.09222021 § 5 Service

(a) Service of process shall be accepted by the registered agent on behalf of an entity for which the registered agent is appointed.

(b) If the registered agent is an entity, then a natural person having an agency relationship with the registered agent shall accept service of process.

(c) If an entity does not have a registered agent or the registered agent cannot with reasonable diligence be served, the entity may be served at its principal office by registered or certified mail as provided in W.S. 17-28-104.

(d) If an entity does not have a registered agent, the secretary of state may accept service of process for the entity and shall forward it to the entity at its principal office by registered or certified mail as provided in W.S. 17-28-104.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.9.09222021 § 6 Resignation

(a) Notification of resignation

(i) To resign, a registered agent must first notify each affected entity in writing, whether by mail to the address mandated by the affected entity's governing statute or by email, thirty (30) days prior to filing a Statement of Resignation with the secretary of state.

(ii) The notification shall be addressed to any officer or other authorized person of the entity, other than the registered agent.

(iii) The notification may include a statement that the registered office is also discontinued, if applicable.

(iv) Following receipt of the notification of resignation from the registered agent, the entity has thirty (30) days to provide the secretary of state with an Appointment of New Registered Agent and Office form, in compliance with W.S. 17-28-102(a).

(b) If the entity has not appointed a new registered agent during the thirty (30) day notification period, upon receipt of a Statement of Resignation by a Registered Agent, the secretary of state shall classify the entity as delinquent awaiting administrative dissolution, revocation or forfeiture, as appropriate.

(c) When a Statement of Resignation is filed and there has been no successor appointed and the entity has not appointed a new registered agent, service of process shall be upon the secretary of state until a new appointment is made or until the entity is administratively dissolved, revoked or forfeited, as appropriate.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.9.09222021 § 7 Series LLC

(a) For any LLC with series created under W. S. 17-29-211, a single registered agent shall be appointed for the LLC and all series.

(b) No LLC series created under W.S. 17-29-211 or any other subdivision of a business entity shall serve as a registered agent.

(i) A list of all of the LLC's series;

(ii) The names and addresses of each of the series' members, directors, officers, limited liability company managers, managing partners or persons serving in a similar capacity; and

(iii) The name, physical address and business telephone number of a natural person for each series who is authorized to receive communications from the registered agent.

History

Effective 2021-09-22

Chapter 10 Commercial Registered Agents

Wyo. Code R. 002.0023.10.09222021 § 1 Applicability

This chapter applies to only Commercial Registered Agents (CRAs) required by law to file with the secretary of state.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.10.09222021 § 2 Registration Requirements

(a) A registered agent that represents more than ten (10) entities shall annually register with the secretary of state as a CRA.

(i) A registered agent representing an entity that is itself registered as a Commercial Registered Agent must also register as a CRA.

(ii) In any chain of agency service for an entity or entities serving as a Commercial Registered Agent as described above, there must be a qualified natural person serving as a Commercial Registered Agent at the end of the chain.

(b) A registered agent shall file an application with the secretary of state that is sworn under penalty of perjury and which contains the following information:

(i) Legal name of applicant;

(ii) Applicant's physical street address of its registered office where service on the entities represented by the applicant may be made. The physical street address may not be a post office box or drop box;

(iii) An optional mailing address may be included on the application in addition to the physical street address;

(iv) Whether the applicant has ever been convicted of a felony;

(v) In the case of a registered agent that is an entity, whether any of the officers, directors, members, partners or persons serving in a similar capacity have ever been convicted of a felony;

(vi) The name, physical street address and phone number of the person who has authority to act on behalf of the Commercial Registered Agent;

(vii) If the applicant is a natural person, a statement that the applicant is 18 years or older;

(viii) Registered office information, including:

(A) Physical street address of office;

(B) Phone number of office;

(D) Name of natural person who is authorized or the position that is authorized to accept service on behalf of the Commercial Registered Agent.

(ix) At the agent's election, a request to appear on the published list of Commercial Registered Agents pursuant to these rules and certification of compliance with the requirements thereof.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.10.09222021 § 3 Failure to Register

(a) Failing to register annually as a Commercial Registered Agent does not constitute resignation.

(b) A Commercial Registered Agent may reregister for the following year from October 1 through December 31 of the current year.

(c) On January 1 of each year, the secretary of state shall begin dissolution, revocation or forfeiture proceedings, as appropriate, against all entities represented by a Commercial Registered Agent whose registration has expired and who has failed to register as a Commercial Registered Agent by December 31 of the previous year.

(d) In order to stop the dissolution process, the business entity must file an Appointment of New Registered Agent and Office form with the secretary of state, in accordance with the Registered Offices and Agents Act (the Act) and rules. The business entity may choose a different registered agent or the same registered agent as it had previously if that registered agent again becomes qualified.

(e) The registered agent shall remain responsible for all of the requirements under the Act and these rules for all entities represented until they either resign according to the Act and these rules or they register.

History

Effective 2021-09-22

Wyo. Code R. 002.0023.10.09222021 § 4 Public List

(a) Pursuant to W.S. 17-28-106(d), the secretary of state may publish a list of Commercial Registered Agents, as it sees fit for the benefit of the public. The list may be in any order and format the secretary of state deems necessary and fair.

(b) For a Commercial Registered Agent to be eligible to appear on the public list, the agent shall:

(i) Be fully compliant with the Registered Offices and Agents Act;

(ii) If the agent is a business entity, be in good standing with the secretary of state;

(iii) Not be sanctioned within or outside of Wyoming, if the agent purports to be licensed or a registered professional;

(iv) Not engage in misleading, deceptive, or harmful advertising or business practices;

(v) Not market shell, shelf or aged-shelf companies;

(vi) Not market business formation with promises of anonymity, secrecy, hidden owners, or substantially similar claims;

(vii) Not have any bona fide complaints against the agent from customers for a period of two (2) years, as determined by the secretary of state; and

(viii) Comply with secretary of state audits and requests for information necessary to ascertain compliance with qualifications to appear in the published Commercial Registered Agent list.

History

Effective 2021-09-22

242 Rules on Rules for State Agencies

Chapter 1 Purpose, Definitions, General Filing Provisions, and Copies of Rules

Wyo. Code R. 002.0016.1.08092021 § 1 Authority

As the Registrar of Rules, the Secretary of State is establishing requirements for rule formatting, definition of terms, initial processes for rule promulgation, and rule filing under the Administrative Procedure Act, W.S. 16-3-101 through 16-3-106.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.1.08092021 § 2 Definitions

(a) "Administrative Rules System" means a database system providing access to proposed, emergency and final rules; providing for electronic submission and transmission of rules to the Governor's Office, Attorney General's Office, and Legislative Service Office as well as subscribers to rule notifications; and providing for electronic public comment submissions.

(b) "Amended" means a proposed regular rule that alters all or part of a current rule.

(d) "Cumbersome" means any document where formatting the incorporated material would cause the agency to purchase special software or incur unreasonable amounts of staff time to prepare including documents containing graphics, tables, drawings, equations, scientific nomenclature, special symbols, or non-Arabic numerals.

(e) "Current" means the regular rule presently in effect.

(f) "Date of Adoption" means the date the agency adopts rules.

(g) "Emergency Rule" means a temporary rule promulgated pursuant to W.S. 16-3- 103(b).

(h) "Filed" means the date the rule was accepted and made effective by the Registrar of Rules.

(i) "Final" means a regular rule that has been approved by the Governor and has been filed with the Registrar of Rules.

(j) "New" means:

(i) For the purposes of the Legislature's review, a rule that is promulgated in response to a Wyoming legislative enactment.

(ii) For the purposes of the Registrar of Rules, a rule that addresses issues not previously addressed in whole or in part by prior rulemaking.

(k) "Non-Substantive Change" means a change to current rules as outlined in Rules on Rules, Chapter 3, Section 3.

(l) "Program" means a grouping of rules all having a common subject matter or jurisdiction and belonging to a single agency, board or commission.

(m) "Proposed" means a regular rule that is open for public comment or is otherwise not final.

(n) "Regular Rule" means a rule promulgated pursuant to W.S. 16-3-103, not including emergency rules.

(o) "Repealed" means a rule that has been removed and placed in a different chapter, program, or agency or a rule which has been removed and has not been replaced.

(p) "Statement of Reasons" means a brief and concise statement of the principal reason(s) for the adoption of a rule that explains either the terms or substance of the proposed rule or a description of the subjects and issues involved and which meets the requirements of Tri-State Generation & Transmission Ass'n v. Environmental Quality Council, 590 P.2d 1324 (Wyo. 1979).

(q) "Statement justifying the emergency" means a brief and concise explanation of an emergency an agency faces that justifies adopting emergency rules.

(r) "Strike and Underscore Copy" is an electronic file containing the rule with additions to language marked with a single-line underscore and deletion of existing language marked with a single-dash strike-through. Track Changes or other software-specific change management tools are not permissible.

(s) "Superseded" means a final rule that has been amended by a current rule relating to the same general subject matter.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.1.08092021 § 3 Agency, Program, Chapter Modifications

(a) If an agency name is changed, the agency shall notify the Registrar of Rules. The notice shall include the agency's old name, the agency's new name, and the authority for the name change.

(b) After the agency notifies the Registrar of Rules, the Registrar of Rules shall change the agency's name using the Administrative Rules System.

(i) The current rule chapters of a program being moved shall be repealed by filing a Proposed Rule Packet; and

(ii) The current rule chapters shall be new rules filed under the surviving agency and program.

(d) Once an agency has repealed a chapter of rules, the agency may not reuse the number of that chapter in future rules.

(e) Agencies may adopt regular rules to reserve chapter numbers for future use.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.1.08092021 § 4 General Filing Provisions

(a) State agency rules shall be filed with the Registrar of Rules on the Administrative Rules System. All forms shall be mandatory unless specified otherwise and are found at https://rules.wyo.gov under the "Quick Links" heading.

(b) An agency proposing rules shall use the Wyoming Administrative Rules System to file all proposed rules packets in accordance with Chapter 3 of these Rules. After the Registrar of Rules verifies that a proposed rule packet complies with the Rules on Rules, the Administrative Rules System shall deliver notice of the proposed rules to any individuals who requested notice of proposed rules.

(c) An agency promulgating rules shall use the Administrative Rules System to file all rules packets in accordance with Chapter 3 of these Rules. After the Registrar of Rules verifies that a filed rule packet complies with the Rules on Rules, the Administrative Rules System shall deliver the complete packet to the Governor, the Legislative Service Office, and the Attorney General.

(d) No rule shall include a table of contents, title page, or index in any rule packet.

(e) An agency proposing or promulgating rules shall submit the entire chapter of each rule.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.1.08092021 § 5 Notices and Copies of Rules

(a) The Administrative Rules System shall provide a subscription service for individuals to request notice of proposed, final, and emergency rules. The Administrative Rules System shall deliver notice of proposed, final, and emergency rules using that subscription service.

(b) Interested persons may obtain a certified copy of any filed rule from the Registrar of Rules upon written request and payment of a copy fee as set forth in W.S. 9-1-305.

(c) If there is any dispute as to the contents of an agency's rules, the official copy of a state agency's rules shall be that which the Registrar of Rules hosts on its website at https://rules.wyo.gov.

History

Effective 2021-08-09

Chapter 2 Formatting

Wyo. Code R. 002.0016.2.08092021 § 1 Format of Rules

Rules shall be formatted as follows:

(a) The first page of every chapter shall contain the chapter number and chapter title, centered and in bold typeface at the top of the page.

(b) Section numbers and titles shall be in bold typeface.

(d) The rules shall be single-spaced with double spaces between paragraphs and be left justified.

(e) Page numbers shall appear on every page in the center of the bottom margin half an inch from the bottom of the page. The page numbers shall begin with the chapter number and be followed by a hyphen and the page number.

(f) The clean Word version shall not contain word style types or header and/or footer information with the exception of page numbers.

(g) Text shall be 12-point black Calibri font or Times New Roman font.

(h) Text on the second and subsequent lines following a Section, Sub-section, Paragraph, Subparagraph, etc. shall wrap to the left margin.

(i) Arrangement of rules shall be in the following format:

The remainder of this page is intentionally left blank

History

Effective 2021-08-09

Wyo. Code R. 002.0016.2.08092021 § 2 Embedded Tables and Images

Rules may contain information in tables and images.

(a) If a rule includes a table, the header row shall appear at the top of every page on which the table appears.

(b) Agencies shall include tables, images, and technical drawings by reference whenever possible.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.2.08092021 § 3 Appendices

Appendices shall either:

(a) Be incorporated as part of the rule chapter to which they apply; or

(b) Be submitted as a separate chapter of rules having a sequential chapter number and an appropriate chapter name.

History

Effective 2021-08-09

Chapter 3 Types of Rules Filings

Wyo. Code R. 002.0016.3.08092021 § 1 Process for Submitting Proposed Rules

(a) Before submitting proposed rules with the Registrar of Rules, an agency shall request and receive permission to proceed from the Governor's Office.

(b) After receiving permission to proceed from the Governor's Office, an agency promulgating rules shall use the Administrative Rules System to submit its proposed rules consisting of:

(i) Proposed Rules PDF Packet that is searchable containing the:

(A) Notice of intent to promulgate rules;

(B) Statement of principal reasons for adoption of rules;

(D) Strike and underscore copy of each proposed rule chapter.

(ii) Word (.docx) copy of the strike and underscore copy of each proposed rule chapter.

(A) If amendments are pervasive, strike and underscore are not required, but are still preferred. If strike and underscore are not used:

(I) Approval from the Attorney General's Office must be stated on the Notice of Intent; and

(II) The Statement of Reasons or other accompanying documents must clearly show the type of changes made and specifically include all substantive deletions and additions with appropriate citations to the sections affected.

(i) The Administrative Rules System shall electronically deliver the packet to the Governor, Attorney General, and Legislative Service Office;

(ii) The Administrative Rules System shall electronically deliver the packet to individuals requesting notice of proposed rulemaking; and

(iii) Individuals shall be able to comment on the proposed rules by using the Administrative Rules System.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.3.08092021 § 2 Process for Filing Final Rules

(a) If an agency fails to file final rules within seventy-five (75) days from the date the rules are adopted, the agency shall file a new notice of intent to adopt the rules.

(b) Within ten (10) days of adopting rules, pursuant to W.S. 28-9-103(b), the agency shall use the Wyoming Administrative Rules System to submit its final rules consisting of:

(i) Final Rules PDF Packet that is searchable containing the:

(A) Certification page for regular and emergency rules bearing the signature of the agency, commission, or board authorized individual;

(B) Statement of principal reasons for adoption of rules;

(C) Summary of comments and responses. If an agency received no comments, the agency shall state that there were no comments;

(D) Clean copy of the each chapter of final rules; and

(E) Strike and underscore copy of each chapter of final rules.

(ii) Word (.docx) clean copy of each final chapter of rules.

(i) The certification page bearing the Governor's signature has been delivered to the Registrar of Rules; and

(ii) The rules have been processed and made available to the public on the Administrative Rules System.

(d) When the Governor line-item vetoes all or any portion of a rule, the agency shall modify the final rules document(s) by removing the vetoed content. The agency shall email the revised final copy of each modified rule to the Registrar at Rules@wyo.gov, and shall not submit the rules through the Wyoming Administrative Rules System.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.3.08092021 § 3 Process for Filing Non-Substantive Changes

(a) Agencies may modify final regular rules under this section without prior notice or a hearing.

(b) Agencies may not move text from one chapter to another under this section.

(c) Agencies' Attorney General representatives shall determine whether this section permits the agency to modify their rules.

(d) Agencies may not modify emergency rules under this section.

(e) Agencies may modify their current rules under this section for the following reasons:

(i) Updating the name of an agency by reason of a name change prescribed by law;

(ii) Correcting spelling and grammatical mistakes in a manner that does not alter the scope, application, or meaning of the rule;

(iii) Correcting statutory or rule references; or

(iv) Correcting physical addresses, telephone numbers, or website or email addresses.

(f) Upon approval from its Attorney General representative, an agency shall use the Wyoming Administrative Rules System to submit its non-substantive changes in a packet consisting of:

(i) A Non-Substantive Changes PDF Packet that is searchable containing the:

(A) Non-Substantive Changes Form;

(B) Clean copy of each chapter; and

(ii) A Word (.docx) clean copy of each chapter of rules.

(g) Rules are not officially filed until they have been processed and made available to the public on the Administrative Rules System.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.3.08092021 § 4 Emergency Rules

(a) Emergency rules shall follow the same format as regular rules as set forth in Chapter 2, except that emergency rules shall, in boldface and underlined type, include the following statement directly below the Chapter Title:

Emergency rules are in effect no longer than 120 days after filing

with the Registrar of Rules.

(b) Identical or substantially similar emergency rules shall in no case be effective for a total period exceeding two hundred forty (240) days from the date first filed with the Registrar of Rules.

(c) An agency filing emergency rules shall use the Wyoming Administrative Rules System to submit its emergency rules consisting of:

(i) Emergency Rules PDF Packet that is searchable containing the:

(A) Certification page for regular and emergency rules;

(B) Statement justifying the emergency;

(D) Clean copy of each emergency rule chapter; and

(E) Strike and underscore copy of each emergency rule chapter.

(ii) Word (.docx) clean copy of each emergency chapter of rules.

(d) Emergency rules are not officially filed until:

(i) The certification page bearing the Governor's signature has been delivered to the Registrar of Rules; and

(ii) The emergency rules have been processed and made available to the public on the Wyoming Administrative Rules system.

(e) When the Governor line-item vetoes all or any portion of an emergency rule, the agency shall modify the emergency rules document(s) by removing the vetoed content. The revised final copy of the emergency rule(s) shall be emailed to the Registrar of Rules at Rules@wyo.gov and shall not be submitted via the Wyoming Administrative Rules System.

History

Effective 2021-08-09

Wyo. Code R. 002.0016.3.08092021 § 5 Withdrawing Proposed Rules

(a) An agency may withdraw any proposed rule at any time before the Governor acts on the proposed rule by notifying the Registrar of Rules at Rules@wyo.gov and the Governor's Office.

(b) An agency may not withdraw a current rule or emergency rule.

History

Effective 2021-08-09

243 Securities

Chapter 1 Authority & Purpose

Wyo. Code R. 002.0017.1.10272017 § 1 Authority and Statement of Purpose

These rules are promulgated pursuant to Wyoming Statute §17-4-605 of the Wyoming Uniform Securities Act ("Act"). The purpose of the Act is to protect Wyoming investors through a prohibition against fraud in the offers and sales of securities; the registration and exemption of securities; the registration of agents of brokers and issuers who sell securities, and the registration of investment advisers and investment adviser representatives who recommend the purchase and sale of securities. The Secretary of State is establishing these rules to comply with the Act.

History

Effective 2017-10-27

Chapter 2 Definitions

Wyo. Code R. 002.0017.2.02272024 Definitions

Chapter 2

DEFINITIONS

Section 1. Definition by Acronym.

(a) CRD. Central Registration Depository.

(b) IARD. Investment Adviser Registration Depository.

(d) FINRA. Financial Industry Regulatory Authority.

(e) NASAA. North American Securities Administrators Association.

(f) SCOR. Small Corporate Offering Registration.

(g) SEC. Securities and Exchange Commission.

(h) SRO. Self-Regulatory Organization.

(i) WIN. Wyoming Invests Now. Wyoming's Crowdfunding Exemption.

Section 2. Accredited Investor. The term shall be used as defined in 17 C.F.R. 230.501 (a).

Section 3. Correspondent. Correspondent shall mean the person or law firm listed in item 2 of the Form U-1 representing the applicant or issuer during registration of securities.

Section 4. Effective or Effectiveness. Effective or effectiveness means the status the Secretary of State has granted or approved an application for registration or received a notice filing.

Section 5. Financial Statement. Financial statement means a balance sheet, a statement of income, a statement of changes in financial condition and a statement of stockholder's equity.

Section 6. Issuer's Agent(s). Issuer's agents are those persons transacting business in securities on behalf of an issuer. Issuer's agents are restricted to transacting business in the securities of an issuer for which they are affiliated.

Section 7. Mass Transfer. Mass transfer means transfer of a broker-dealer's agents from one entity to another due to broker-dealer registration termination; broker-dealer name change or reorganization; broker-dealer acquisition, merger or succession. Mass transfer is effected through the CRD without filing individual forms U-4 or U-5.

Section 8. Net Capital. The term shall be used as defined in 17 C.F.R. 240.15c3-1.

Section 9. Open-End Investment Company. Open-end investment company means a management company which is offering for sale or has outstanding any redeemable security of which it is the issuer.

Section 10. Portal. Portal means an internet website that is operated by a portal operator for the offer and sale of securities pursuant to W.S. § 17-4-203, Wyoming Invests Now exemption.

Section 11. Portal Operator. Portal operator means a website operator which is an entity authorized to do business in this state and operates a portal.

Section 12. Renewal. Renewal means extending a registration beyond its period of effectiveness for an additional period as specified by rule or statute.

Section 13. Secretary of State. The Secretary of State as used in these rules means the Secretary of State of Wyoming and his/her successors acting in that official capacity and as statutory Administrator of Wyoming's Uniform Securities Act.

Section 14. Segregated Account. Segregated account means any account which may receive deposits of cash located at any financial institution in the United States which insures its deposits through an agency of the federal government. This account shall be used only for deposits of offering proceeds and shall not be used for other types of deposits.

Section 15. Termination. Termination means the ending of a period of registration after which the registration is no longer in force or effect.

Section 16. Uniform Forms. A list of Uniform forms are referred to in these rules as follows:

(a) Form U-1 is the Uniform Application to Register Securities.

(b) Form U-2 is the Uniform Consent to Service of Process.

(d) Form U-4 is the Uniform Application for Securities Industry Registration.

(e) Form U-5 is the Uniform Termination Notice for Securities Industry Registration.

(f) Form U-7 is the disclosure document and instructions for completion of the disclosure document known as the Registration Form for Small Corporate Offerings.

(g) Form ADV is the Uniform Application for Investment Adviser Registration.

(h) Form ADV-W is the Uniform Request for Withdrawal from Registration as an Investment Adviser.

(i) Form D is Notice of Exempt Offering of Securities.

(j) Form BD is the Uniform Application for Broker-Dealer Registration.

(k) Form BDW is the Uniform Request for Withdrawal from Registration as a Broker-Dealer.

(l) Model Accredited Investor Exemption Uniform Notice of Transaction is the notice of sale of securities pursuant to accredited investor exemption.

(m) Form NF is the Uniform Investment Company Notice Filing.

(n) Regulation A - Tier 2 Notice Filing Form is the Uniform Notice Filing Regulation A - Tier 2 Offering.

Section 17. Unit Investment Trust. Unit Investment Trust means an investment company which is organized under a trust indenture, contract of custodianship or agency, or similar instrument which does not have a board of directors and issues only redeemable securities each of which represents an undivided interest in a unit of specified securities, but does not include a voting trust.

Section 18. Incorporates a Social Objective. Incorporates a social objective means the consideration of social criteria in the investment or commitment of customer or client funds.

Section 19. Social Criteria. Social criteria include any criterion that is intended to further, or is branded, advertised, or otherwise publicly described as furthering, any of the following:

(a) International, domestic, or industry agreements relating to environmental or social goals;

(b) Corporate governance structures based on social characteristics;

History

Effective 2024-02-27

Chapter 4 Broker-Dealer Regulations

Wyo. Code R. 002.0017.4.02272024 Broker-Dealer Regulations

Chapter 4

BROKER-DEALER REGULATIONS

Section 1. Initial Registration. An applicant seeking broker-dealer registration in Wyoming:

(a) Shall make initial application by completing the Form BD in accordance with the form instructions, filing the form with the CRD, and paying the fee set forth in W.S. §17-4-410.

(b) Shall supply their last annual audited financial statement prepared by an independent certified public accountant and filed with the SEC pursuant to SEC Rule 17a-5(d).

(i) If a recently formed broker-dealer does not have an audited financial statement, an unaudited financial statement may be substituted if it has been signed and dated within 90 days of the date of application by an appropriate officer or principal of the broker-dealer. A copy of SEC Form X-17A-5 (Focus Report Part II or IIA) may be used as an unaudited financial statement provided that document includes Part II or Part IIA dated within 90 days of the date of application.

(ii) The unaudited financial statement shall contain a compilation of net capital figured according to net capital regulations contained in federal laws and rules.

(c) Shall supplement the audited financial statement with the latest SEC Form X-17a-5 (Focus Report Part II or IIA). If the applicant does not report using the FOCUS Part II or IIA, an applicant may instead submit an unaudited financial statement signed and dated within 90 days of the date of application by an appropriate officer or principal of the broker-dealer which contains a statement of net capital compliance.

(d) Shall be registered with or be a member in good standing with the SEC and the appropriate Self-Regulatory Organization ("SRO") prior to submission of an initial application for broker-dealer registration.

Section 2. Registration Procedures.

(a) When registering a broker-dealer, the Secretary of State may:

(i) Accept application materials by email addressed to compliance@wyo.gov.

(ii) Accept an initial application pursuant to this section and delay the effectiveness of the registration until January 1 at the request of the applicant provided the information on Form BD remains current.

Section 3. General Broker-Dealer Requirements.

(a) Compliance with all current SEC regulations is a condition of registration as a broker-dealer in Wyoming.

(b) Upon request broker-dealers may be required to provide the Secretary of State any notices, computations, and reports required for submission to the SEC or an SRO.

(c) Broker-dealers shall make, maintain and preserve books and records in compliance with SEC Rules and make them available for inspection to the Secretary of State upon request.

(d) Following initial registration approval, broker-dealers shall file amendments to Form BD with the CRD system whenever the information on file with the CRD becomes inaccurate, but not later than 30 days following any material change.

(e) Shall remain in good standing with the SEC and the appropriate SRO. The Secretary of State may summarily suspend any broker-dealer registration if that broker-dealer is not registered in good standing with the SEC and the appropriate SRO.

Section 4. Renewal.

(a) Every broker-dealer registered in Wyoming which desires to renew its registration shall renew through the CRD and follow the renewal procedures established by the CRD of each year.

(b) If renewal fees are not paid on or before the cut-off date established by the CRD, a broker-dealer's registration may be subject to administrative action on January 1 or thereafter for willful failure to comply with any provision of the Act or rules following notice, opportunity for hearing, and written findings of fact and conclusions of law.

(i) Notice, as contemplated in this section, shall be given by the Secretary of State via a letter to the broker-dealer's last known address advising the broker-dealer of its failure to renew and need for immediate compliance;

(ii) To the extent the broker-dealer cannot be located, mailing a copy of any Order Canceling Broker-Dealer Registration to the broker-dealer's last known address shall be deemed sufficient notice and service by the Secretary of State of the requirement and failure of the broker-dealer to renew;

(c) Broker-dealers which do not participate in CRD renewal by the CRD cut-off date, but which contact the Secretary of State and deliver the appropriate renewal fees for the broker-dealer and agents before a final Order of revocation is entered, may have their registration renewed for another year subject to payment of an administrative penalty pursuant to W.S. §17- 4-412 in an amount not to exceed two hundred dollars ($200) for failure to comply with the Act and Rules.

Section 5. Termination/Cancellation. A broker-dealer desiring to end its registration in Wyoming shall submit executed Form BDW with the CRD.

Section 6. Conduct. Every broker-dealer shall observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business. Acts and practices including but not limited to items set forth by NASAA on DISHONEST OR UNETHICAL BUSINESS PRACTICES OF BROKER-DEALERS AND AGENTS (Statement of Policy) adopted May 23, 1983 (found at nasaa.org), herein incorporated by reference, may be considered contrary to such standards. These acts and practices may constitute dishonest or unethical practices as found in W.S. §17-4-412(d)(xiii) or other listed grounds for denial, suspension or revocation of registration, monetary penalty or such other action authorized by statute.

Section 7. Required Disclosures for Investments that Incorporate a Social Objective.

(a) If a broker-dealer incorporates a social objective into a discretionary investment decision to buy or sell a security or commodity for a customer or client, a recommendation or solicitation to a customer or client for the purchase or sale of a security or commodity, or the selection, recommendation or advice to a customer or client regarding the selection of a third-party manager or subadviser to manage the investments in the customer or client's account, then such broker-dealer shall disclose to such customer or client the existence of such incorporation.

(b) The disclosure obligation under subsection (a) of this section is satisfied by providing clear and conspicuous disclosure, via written communication. Thereafter, the disclosure shall be provided to the customer or client on an annual basis and whenever the broker-dealer undergoes a suitability review with a customer.

History

Effective 2024-02-27

Chapter 5 Securities Agent Regulations

Wyo. Code R. 002.0017.5.02272024 Securities Agent Regulations

Chapter 5

SECURITIES AGENT REGULATIONS

Section 1. Initial Registration. Persons applying for securities agent registration shall:

(a) Be affiliated with a broker-dealer who is currently registered with the Secretary of State, unless registering as an agent of an issuer under Section 2 of this Chapter.

(b) Make initial application by completing the Uniform Application for Securities Industry Registration, Form U-4, in accordance with the form instructions, filing the form with the CRD, and paying the fee set forth in W.S. §17-4-410(b) through the CRD.

(c) Take and achieve a passing score on the Uniform Securities Agent State Law Examination (USASLE, Series 63) or the Uniform Combined State Law Exam (Series 66) and take and pass any qualification examination for agents appropriate to the category of registration requested with FINRA or other securities exchange. The Secretary of State may waive this requirement if:

(i) The applicant has taken and achieved a passing score on the Series 63 exam or Series 66 exam within two years of the date of application; or

(ii) The applicant has taken and achieved a passing score on the Series 63 exam or Series 66 exam and has been registered in another jurisdiction without a lapse in registration for two or more years, or;

(iii) The applicant was registered as a securities agent in Wyoming before January 1, 1982 and has been continuously registered since that time; or

(iv) The applicant has been continuously registered in another jurisdiction not requiring the Series 63 Examination since January 1, 1982 or before or;

(v) Is an executive corporate officer, director, corporate officer of a general partner or manager of an issuer marketing its own securities and who does not receive sales related remuneration.

Section 2. Agent of an Issuer.

(a) If registering as an agent representing an issuer, complete the appropriate portions of Form U-4. Sections of the Form U-4 solely applicable to registration as an agent for a brokerdealer may be left blank. Submit the application to the Secretary of State along with the fee as prescribed in W.S. §17-4-410(b).

(b) Take and achieve a passing score on the Uniform Securities Agent State Law Examination (USASLE, Series 63) or the Uniform Combined State Law Exam (Series 66) consistent with the provisions in Chapter 5, Section 1(c) above.

(c) The Secretary of State may make an agent of an issuer registration effective during the period an issuer's securities are being sold pursuant to an effective registration statement or being sold pursuant to certain pertinent securities exemptions. The agents of an issuer cease to be registered as securities agents when:

(i) the issuer's registration statement ceases to be effectively registered; or

(ii) the exempt offering is complete.

Section 3. Securities Agent Renewal.

(a) Securities agents employed by broker-dealers renew through the CRD according to instructions provided by CRD each year.

(b) Agents of an issuer who wish to renew their registration shall renew registration on their anniversary effective date by submitting a letter to the Secretary of State.

(c) All agents shall amend information on their application Form U-4 whenever the information on file changes, but not later than thirty days following a material change.

Section 4. Termination.

(a) When an agent ends its affiliation with a broker-dealer, the broker-dealer shall file the Uniform Termination Notice for Securities Industry Registration, Form U-5, with CRD. A broker-dealer shall file the U-5 of any agent within 30 days unless a longer period of time is approved by the Secretary of State.

(b) Agents of an issuer may end their registration by submitting a letter to the Secretary of State indicating their desire to terminate their registration.

(c) Issuers may end an agent's registration by submitting a letter to the Secretary of State indicating their desire to terminate the agent's registration.

Section 5. Conduct. Every agent shall observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business. Acts and practices including but not limited to items set forth by NASAA on DISHONEST OR UNETHICAL BUSINESS PRACTICES OF BROKER-DEALERS AND AGENTS (Statement of Policy) adopted May 23, 1983 (found at www.nasaa.org), herein incorporated by reference, may be considered contrary to such standards. These acts and practices may constitute dishonest or unethical practices as found in W.S. 17-4-412(d)(xiii) or other listed grounds for denial, suspension or revocation of registration or such other action authorized by statute.

Section 6. Required Disclosures for Investments that Incorporate a Social Objective.

(a) If a securities agent incorporates a social objective into a discretionary investment decision to buy or sell a security or commodity for a customer or client, a recommendation or solicitation to a customer or client for the purchase or sale of a security or commodity, or the selection, recommendation or advice to a customer or client regarding the selection of a third-party manager or subadviser to manage the investments in the customer or client's account, then such securities agent shall disclose to such customer or client the existence of such incorporation.

(b) The disclosure obligation under subsection (a) of this section is satisfied by providing clear and conspicuous disclosure, via written communication. Thereafter, the disclosure shall be provided to the customer or client on an annual basis and whenever the securities agent undergoes a suitability review with a customer or client.

History

Effective 2024-02-27

Chapter 6 Exemptions From Registration & Crowdfunding

Wyo. Code R. 002.0017.6.10272017 § 1 Exemptions

The following rules correspond with provisions of W.S. §17-4-201 and 202 for further clarification of securities and transactions exempt from registration.

(a) Isolated non-issuer transaction as used in W.S. §17-4-202(a)(i) shall mean a single transaction involving one buyer and one seller.

(b) Mergent or Fitch securities manuals, and the OTCQX and OTCQB markets containing information specified by the statutory exemption are designated as "nationally recognized securities manuals" for the purpose of claiming exemption under W.S. §17-4-202(a)(ii)(D).

(c) The wording of W.S. §17-4-202(a)(xv) does not restrict existing security holders only to persons who are holders of convertible securities, options or warrants.

(d) Offers, but not sales, of securities made pursuant to W.S. §17-4-202(a)(xvii) pursuant to Chapter 7, Section 3 of these rules:

(i) If made pursuant to the following conditions:

(A) Ten (10) business days prior to the initial solicitation of interest under this rule, the offeror files with the Secretary of State a "Solicitation of Interest Form" along with any other materials to be used to conduct solicitations of interest, including, but not limited to, the script of any broadcast to be made, a copy of any video materials intended for broadcast and a copy of any notice to be published. The Solicitation of Interest Form may be obtained from the Secretary of State's website at http://sos.wyo.gov.

(B) Five (5) business days prior to usage, the offeror files with the Secretary of State any amendments to the foregoing materials or additional materials to be used to conduct solicitations of interest, except for materials provided to a particular offeree pursuant to a request by that offeree.

(C) Solicitation of Interest Forms, advertisements and other solicitation materials shall not be distributed unless approved by the Secretary of State.

(D) Except for scripted broadcasts and published notices, the offeror supplies the offeree with the most current Solicitation of Interest Form at or before the time of the communication or within five (5) days of the initial communication.

(E) During the solicitation of interest period, the offeror does not solicit or accept money or a commitment to purchase securities.

(F) No sale is made until the offeree has received and had an opportunity to read a currently effective prospectus. No sale may occur based upon the delivery of a preliminary prospectus until a final prospectus is received.

(G) No exemption shall be available to any person who, directly or indirectly, as part of this exempt transaction:

(I) Has filed a registration statement which is currently the subject of an effective registration stop order entered pursuant to any state's securities laws within five years prior to the filing of the notice required under this exemption;

(II) Has, within five (5) years prior to the filing of the notice required under this exemption, been convicted of any felony or misdemeanor in connection with the offer, purchase or sale of any security or of any felony involving fraud or deceit, including but not limited to forgery, embezzlement, obtaining money under false pretenses, larceny, conspiracy to defraud, money laundering, or tax evasion;

(III) Is currently subject to any state or province of Canada administrative enforcement order or judgment entered by that state or province's securities administrator within five years prior to the filing of the notice required under this exemption, or is subject to any state or provincial administrative enforcement order or judgment in which fraud or deceit, including but not limited to making untrue statements or material facts and omitting to state material facts;

(IV) Is subject to any state or province of Canada administrative enforcement order or judgment which prohibits, denies or revokes the use of any exemption from registration in connection with the offer, purchase or sale of securities;

(V) Is currently subject to any order, judgment, or decree of any court of competent jurisdiction that temporarily, preliminarily, or permanently restrains or enjoins such party from engaging in, or continuing, any conduct or practice in connection with the purchase or sale of any security or involving the making of any false filing with the state or province entered within five years prior to the filing of the notice required under this exemption;

(VI) The prohibitions of paragraphs I-III and V above shall not apply if the person subject to the disqualification is duly licensed or registered to conduct securities related business in the state or province in which the administrative order or judgment was entered against such person or if the broker-dealer employing such party is licensed or registered in this state and the Form BD filed with this state discloses the order, conviction, judgment or decree relating to such person. No person disqualified under this subsection shall act in a capacity other than that for which the person is licensed or registered;

(VII) Any disqualification caused by this section is automatically waived if the state or province's securities administrator or agency of the state or province which created the basis for disqualification determines upon a showing of good cause that it is not necessary under the circumstances that the exemption be denied;

(VIII) It is a defense to an alleged violation of this subsection if the issuer sustains the burden of proof to establish that he or she did not know and in the exercise of reasonable care could not have known that a disqualification under this subsection existed.

(H) Any published notice or script for broadcast exempt hereunder shall contain at least the identity of the chief executive officer of the issuer, a brief and general description of its business and products, and the following legends:

(I) No Money of other consideration is being solicited and none will be accepted;

(II) No Sales of the securities shall be made or commitment to purchase accepted until delivery of an offering circular that includes complete information about the issuer and the offering is made;

(III) An indication of interest made by a prospective investor involves no obligation or commitment of any kind; and

(IV) No sale may be made until the offering statement is qualified by the SEC and is registered in this state.

(ii) All communications with prospective investors made in reliance on this rule must cease after a registration statement is filed in this state, and no sale may be made until at least twenty (20) calendar days after the last communication with a prospective investor under this exemption.

(iii) A failure to comply with any condition of section (G) of this rule will not result in the loss of the exemption from the registration or literature filing requirements of the Act for any offer to a particular individual or entity if the offeror shows:

(A) the failure to comply did not pertain to a material condition intended to protect that particular individual or entity; and

(B) the failure to comply was not material with respect to the offering as a whole; and

(D) Loss of this exemption for a specified security or transaction may occur if the issuer fails to comply with the requirements of subparagraph (ii).

(iv) No waiver of this rule shall be assumed or confirmed except by written action of the Secretary of State in response to a written application by the offeror showing good cause for the departure from this rule.

(v) Offers made in reliance on this rule will not result in a violation of the registration provisions of the Act by virtue of being integrated with subsequent offers or sales of securities unless such subsequent offers and sales would be integrated under federal securities laws.

(vi) Issuers on whose behalf indications of interest are solicited under this rule may not make offers or sales in reliance on W.S. §17-4-202(a)(xiv) until twelve (12) months after the last communication with a prospective investor made under this exemption.

(e) Nothing in these rules requires an investment company to make any filings with or pay any fees to the Secretary of State if the investment company may avail itself of exemptions available to other issuers of securities found in W.S. §17-4-201 or -202, unless otherwise required by statute.

History

Effective 2017-10-27

Wyo. Code R. 002.0017.6.10272017 § 2 Crowdfunding - Wyoming Invests Now (WIN)

The following provisions apply to offerings made under intrastate crowdfunding exemption pursuant to W.S.§ 17-4-203.

(a) An issuer claiming the exemption under W.S.§17-4-203 shall file a notice with the Secretary of State on the WIN Form and include the information set forth in W.S.§17-4-203(a)(v). The WIN Form may be obtained from the Secretary of State's website at http://sos.wyo.gov.

(i) Notice shall be filed at least ten (10) days before an offer is made using this exemption.

(ii) The issuer shall notify the Secretary of State by email or written notice of the date of the first offer made.

(iii) After submission of offering information, any changes in information shall be updated with the Secretary of State on the WIN Form within fifteen (15) days of the change.

(iv) The issuer shall provide a quarterly report as set forth in W.S.§17-4-203(b).

(b) Under this exemption, a website operator, also known as a portal, shall file a notice with the Secretary of State on the Portal Form pursuant to W.S.§17-4-203(a)(ix)(C). The Portal Form may be obtained from the Secretary of State's website at http://sos.wyo.gov.

(i) Issuers shall verify purchaser eligibility by collecting one or more of the following records or documents:

(A) A valid operator's license, chauffeur's license, or official personal identification card issued by this state;

(B) A current Wyoming voter registration;

(D) Any other record or documents issued by this state that establishes that the purchaser's principal residence is in this state.

(ii) Issuer shall maintain records collected pursuant to (c)(i) above for a period of six years, the first two years must be accessible within twenty-four (24) hours of a request for the records.

(d) This exemption is only available to an active entity incorporated or organized under the laws of this state in good standing.

(i) If the entity status of any entity making an offering under this provision becomes delinquent for any reason with the Secretary of State's Office, the delinquency must be cured in the respective time period prescribed by law or applicable rule before the entity is administratively dissolved; this exemption shall not apply to any entity that is administratively dissolved.

(e) Upon completion of an offering made under this section, the issuer must file a final sales report with the Secretary of State no later than thirty (30) days after the last sale in the offering. The Final Sales Report Form may be obtained from the Secretary of State's website at http://sos.wyo.gov. The report shall contain the following information:

(i) The time period in which the offering was open;

(ii) The number of shares or units sold in the offering;

(iii) The number of investors that purchased shares or units in the offering; and

(iv) The dollar amount sold in the offering.

History

Effective 2017-10-27

Chapter 7 Securities Registration

Wyo. Code R. 002.0017.7.10272017 Securities Registration

2527

Chapter 7

SECURITIES REGISTRATION

Section 1. Registration By Coordination.

(a) Every person registering securities by coordination, W.S. §17-4-303, shall:

(i) file a fully executed Uniform Application to Register Securities, Form U-1 along with a consent to service of process and the required fee under W.S. §17-4-305(b). No registration documents listed on the Form U-1 shall be filed with the Secretary of State, except the Secretary of State may, upon written request, obtain a copy of any registration document listed on the Form U-1.

(ii) not be required to include any pamphlet, circular, form letter, advertisement, or other sales literature or advertising communication addressed to or intended for distribution to prospective investors if it has been or will be filed with the SEC or other Self-Regulatory Organization. However copies of such material requested shall be furnished to the Secretary of State on demand.

(iii) pursuant to W.S. §17-4-307, not be required to file records under W.S. §17-4-303(b)(i), W.S. §17-4-303(b)(ii) and W.S. §17-4-303(b)(iv). However copies of such material requested shall be furnished to the Secretary of State on demand.

Section 2. Registration By Qualification.

(a) Every person registering securities by qualification, W.S. §17-4-304, except applications made pursuant to Chapter 7, Section 3 (Small Corporate Offering Registration), shall file with the Secretary of State:

(i) a fully executed Uniform Application to Register Securities, Form U-1, and all documents required by that form, except:

(A) a copy of an earning computation or similar document is not required;

(B) advertising material filed with the SEC or other Self-Regulatory Organization is not required.

(ii) a consent to service of process and a filing fee as required by W.S. §17-4-305(b).

(b) Every person registering securities by qualification shall:

(i) include disclosure in the registration statement or prospectus in accordance with Federal Regulation S-B [17 CFR §228.10 through 228.702]; Industry Specific Disclosure Requirements in Guide 7 [17 CFR §229.801 (g) and §802 (g)]; or other applicable Federal Disclosure Guideline and which complies with W.S. §17-4-304(b);

(ii) include in the registration statement or prospectus financial statements prepared in accordance with generally accepted accounting principles in the United States pursuant to 17 CFR §228.310 including:

(A) an audited balance sheet as of the end of the most recent fiscal year, or as of a date within 135 days if the issuer existed for a period less than one fiscal year, and audited statements of income, cash flows and changes in stockholders' equity for each of the two fiscal years preceding the date of such audited balance sheet (or such shorter period as the registrant has been in business; and,

(B) interim financial statements, which may be unaudited, which shall include a balance sheet as of the end of the issuer's most recent fiscal quarter and income statements and statements of cash flows for the interim period up to the date of such balance sheet and the comparable period of the preceding fiscal year; but,

(C) the Secretary of State, where consistent with the premise of protection of investors, may permit the omission of one or more of the financial statements or the substitution of appropriate statements of comparable character; and

(D) the Secretary of State by informal written notice may require the filing of other financial statements, audited or unaudited, where necessary or appropriate of the issuer, subsidiaries, parent companies, affiliates, general partners, or for limited liability companies, members or managers.

(iii) include in the registration statement or prospectus the information or records as specified in W.S. §17-4 304(b)(i) through W.S. §17-4 304(b)(xvii)

(iv) subscribe investors in Wyoming once the offering is declared effective on a form acceptable to the Secretary of State. The issuer shall retain the executed subscription documents for three years following close of the offering.

(v) deposit all monies received from the sale of securities from the offering in a segregated account exclusively for impoundment of offering proceeds at any financial institution(s) independent of the issuer, unless the Secretary of State determines deposit of offering proceeds in a segregated account would not provide added investor protection.

(A) The impounded proceeds shall not be removed from the segregated account until the minimum amount of offering proceeds subject to the registration statement or prospectus are deposited in the segregated account.

(B) If the minimum amount of offering proceeds subject to the registration are not received into the segregated account within the time frame established in the registration statement or prospectus, all offering proceeds shall be returned to the subscribers without deduction.

(C) Upon depositing at least the minimum amount of offering proceeds in the segregated account, the issuer may begin using the offering proceeds in a manner consistent with the "Use of Proceeds" disclosures in the issuer's registration statement.

(D) The Secretary of State may require the issuer to provide bank statements, deposit slips, subscription agreements or other documentation as proof that the minimum sales proceeds were deposited in the segregated account.

(c) No distribution of a registration statement, delivery of a subscription agreement or any offer of a security being registered may occur in this state until the offering has been ordered effective by the Secretary of State, unless made in accordance with W.S. §17-4-202(a)(xvii) and rules relating to that section.

(d) The Secretary of State incorporates by reference the following NASAA Statements of Policy found at www.nasaa.org as standards of disclosure and fairness in review of securities registration statements or prospectuses for entities engaged in specific types of securities that follow:

(i) Registration of Oil and Gas Programs (Last revised, May 6, 2012)

(ii) Real Estate Investment Trusts (REIT) (Adopted May 7, 2007)

(iii) Registration of Publicly Offered Cattle Feeding Programs (Adopted September 17, 1980)

(iv) Real Estate Programs (Last revised, May 7, 2007)

(v) Debt Securities (Adopted April 25, 1993)

(vi) Registration of Commodity Pool Programs (Amended May 6, 2012)

(vii) Registration of Equipment Programs (Amended May 6, 2012)

(viii) Registration of Asset-Backed Securities (Amended May 6, 2012)

(ix) Church Bonds (Adopted April 14, 2002)

(x) Church Extension Fund Securities (Amended April 18, 2004)

(xi) Registration of Mortgage Programs (Amended May 7, 2007)

(xii) Omnibus Guidelines (Amended May 7, 2007)

Section 3. Small Corporate Offering Registration (SCOR).

(a) The Secretary of State incorporates by reference the NASAA Statement of Policy Regarding Small Corporate Offering Registrations (SCOR), as adopted by NASAA on April 28, 1996 and available at www.nasaa.org. Securities may only be registered under Section 3 if they meet the requirements set forth in this Policy and are not disqualified by the Policy.

(b) Every issuer, when filing pursuant to this Section 3, shall file with the Secretary of State the following:

(i) a fully executed Uniform Application to Register Securities, Form U-1.

(ii) a filing fee as required by W.S. §17-4-305(b).

(iii) a properly completed Form U-2, Consent to Service of Process, appointing the Secretary of State as the issuer's agent in the State of Wyoming for service of process;

(iv) a properly completed Form U-2a, Corporate Resolution, authorizing a corporate officer to perform the acts necessary to effect issuance of securities by the corporation;

(v) a Form U-7 or format prescribed by Regulation A completed pursuant to the applicable instructions.

(c) The information contained in the completed Form U-7 is the offering document information for a security registered pursuant to Section 3 and must be delivered to each purchaser for the purposes of complying with the requirement of W.S. §17-4-304(d).

(d) An offering filed pursuant to Section 3 may be reviewed by the Secretary of State in coordination with one or more securities administrators in other states where the issuer has filed a coordinated review.

Section 4. Pre-Effective Filing Information.

(a) After filing with the Secretary of State any offering required to be filed which is not yet effective:

(i) May withdraw its application from registration unless the Secretary of State has initiated an action for entry of a stop order or has previously entered a stop order or similar action against the issuer. The Secretary of State shall retain one hundred dollars ($100) of the filing fee.

(ii) May be deemed abandoned by the Secretary of State if that application has been on file for one year or more without becoming effective. If no request for extension is received, or if no correspondence is received regarding the filing even after the Secretary of State notifies the correspondent, the offering will be deemed abandoned and the Secretary of State shall retain the entire filing fee.

Section 5. Post Filing Requirements. All securities registration filings which have been declared effective shall:

(a) Renew Registration within 60 days following the anniversary date of its effectiveness by:

(i) requesting renewal in a letter addressed to the Secretary of State identifying the registration by its Wyoming file number; and,

(ii) including fees as required in W.S. §17-4-305(b); or

(b) Cancel effectiveness with the Secretary of State, without prejudice toward secondary trading as quickly as possible after the offering is completed or terminated by:

(i) requesting the effective registration status be canceled in a letter addressed to the Secretary of State specifying the name of the issuer, the Wyoming file number if known; or

(c) Have its effective registration status administratively revoked within 60 days following the registration's anniversary effective date if:

(i) no renewal is effected; or,

(ii) no letter requesting cancellation is received by the Secretary of State.

History

Effective 2017-10-27

Chapter 9 Notice Filings for Covered Securities

Wyo. Code R. 002.0017.9.10272017 § 1 Investment Company Securities

(a) Except as provided in subsection (b), no investment company that is registered under the Investment Company Act of 1940 or that has currently filed a registration statement under the Securities Act of 1933 is required to file with the Secretary of State, either prior to the initial offer or after the initial offer in this state of a security which is a covered security under Section 18(b)(2) of the Securities Act of 1933, a copy of any document which is part of a federal registration statement filed with the SEC or is part of an amendment to such federal registration statement.

(b) An investment company that is registered under the Investment Company Act of 1940 or that has filed a registration statement under the Securities Act of 1933 shall, upon receipt of a written request of the Secretary of State and within the time period set forth in the request, provide a copy of any document identified in the request that is part of the federal registration statement filed with the SEC or part of an amendment to such federal registration statement.

(c) Initial filing. Issuers of open-end investment companies under section 18(b)(2) of the Securities Act of 1933 shall make a notice filing with the Secretary of State at the fund or trust level on The Uniform Investment Company Notice Filing Form (Form NF) and pay a fee set forth in W.S. 17-4-302(a)(i).

(i) Initial notice filings will be effective upon receipt or, if requested by the issuer, concurrent with SEC effectiveness.

(d) Renewal. Notice filings shall be effective for two years. Renewal shall be submitted every other year thereafter on the fund's fiscal year end or within 60 days grace period of the fund's fiscal year end on Form NF with a $200 fee.

(e) Amendment. Notice filings may be amended by submitting an amended Form NF to the Secretary of State. Such amendments shall be effective upon receipt. No fee is payable for amendments.

(i) A notice filed under this section may be terminated by the issuer by providing the Secretary of State with notice on Form NF of such termination and shall be effective upon receipt of such notice.

(ii) Unit investment trusts are not required to make notice filings or pay fees.

History

Effective 2017-10-27

Wyo. Code R. 002.0017.9.10272017 § 2 Rule 506 Offerings

(a) An issuer offering a security that is a covered security under section 18(b)(4)(D) of the Securities Act of 1933 shall file a notice with the Secretary of State on the Notice of Exempt Offering of Securities, SEC Form D, a consent to service of process on Form U-2, and pay a fee of $200 no later than 15 days after the first sale of such federal covered security in this state. An issuer may file using NASAA's Electronic Filing Depository ("EFD") system.

(b) An issuer under this section who files notice on SEC Form D undertakes to furnish to the Secretary of State, upon written request, information furnished by the issuer, or on behalf of the issuer, to offerees.

History

Effective 2017-10-27

Wyo. Code R. 002.0017.9.10272017 § 3 Offers Exclusively To Accredited Investors

(a) The Secretary of State incorporates by reference NASAA's Model Accredited Investor Exemption, Adopted April 27, 1997, available at www.nasaa.org/regulatory-activity/statements-of-policy/.

(b) The issuer shall file with the Secretary of State a notice of transaction on the form Model Accredited Investor Exemption Uniform Notice of Transaction, a consent to service of process, a copy of the general announcement, and a fee of $200 within 15 days after the first sale in this state.

History

Effective 2017-10-27

Wyo. Code R. 002.0017.9.10272017 § 4 Regulation A - Tier 2 Offering

The following provisions apply to offerings made under Tier 2 of federal Regulation A and Section 18 (b) (3) of the Securities Act of 1933:

(a) Initial filing. The initial notice filing under this section is effective for twelve months from the date of filing. An issuer planning to offer and sell securities in this state in an offering exempt under Tier 2 of federal Regulation A shall submit the following at least twenty-one (21) calendar days prior to the initial sale in this state:

(i) A completed Regulation A - Tier 2 notice filing form or copies of all documents filed with the SEC;

(ii) A consent to service of process on Form U-2 if not filing on the Regulation A- Tier 2 notice filing form; and

(iii) A filing fee of $200.

(b) Renewal. For each additional twelve-month period in which the same offering is continued, an issuer conducting a Tier 2 offering under federal Regulation A may renew the unsold portion of its notice filing by filing the following on or before the expiration of the notice filing:

(i) The Regulation Tier 2 notice filing form marked "renewal" and/or a cover letter or other document requesting renewal; and

(ii) A renewal fee of $200; and

(iii) If the amount of securities subject to the notice filing is being increased, the new total offering amount on the Regulation A - Tier 2 Notice Filing Form or other renewal document submitted.

(c) Amendment. An issuer may at any time increase the amount of securities offered in this state by submitting a Regulation A - Tier 2 Notice Filing Form. Submission of an amendment does not change the notice filing period, and no fee is assessed for filing an amendment.

History

Effective 2017-10-27

Wyo. Code R. 002.0017.9.10272017 § 5 Federal Crowdfunding Offerings

The following provisions apply to offerings made under federal Regulation Crowdfunding (17 CFR §227) and Sections 4(a)(6) and 18(b)(4)(C) of the Securities Act of 1933:

(a) Initial filing.

(i) An issuer that offers and sells securities in this state in an offering exempt under federal Regulation Crowdfunding, and that either (1) has its principal place of business in this state or (2) sells 50% or greater of the aggregate amount of the offering to residents of this state, shall file the following with the Secretary of State:

(A) A completed Uniform Notice of Federal Crowdfunding form or copies of all documents filed with the Securities and Exchange Commission;

(B) A consent to service of process on Form U-2 if not filing on the Uniform Notice of Federal Crowdfunding Offering form; and

(ii) If the issuer has its principal place of business in this state, the filing required under paragraph (a) shall be filed with the Secretary of State when the issuer makes its initial SEC Form C filing concerning the offering with the Securities and Exchange Commission.

(iii) If the issuer does not have its principal place of business in this state, but residents of this state have purchased 50% or greater of the aggregate amount of the offering, the filing required under paragraph (a) shall:

(A) be filed when the issuer becomes aware that such purchases have met this threshold and;

(B) be filed no later than thirty (30) days from the date of completion of the offering.

(iv) The initial notice filing is effective for twelve (12) months from the date of the filing with the Secretary of State.

(b) Renewal. For each additional twelve-month period in which the same offering is continued, an issuer conducting an offering under federal Regulation Crowdfunding may renew the unsold portion of its notice filing by filing the following on or before the expiration of the notice filing:

(i) A completed Uniform Notice of Federal Crowdfunding Offering Form, Form U-CF, marked "renewal" and/or a cover letter or other document requesting renewal; and

(ii) A renewal fee of $200.

(c) Amendment. An issuer may increase the amount of securities offered in this state by submitting a completed Uniform Notice of Federal Crowdfunding Offering form marked "amendment" or other document describing the transaction.

History

Effective 2017-10-27

Chapter 10 Investment Adviser Regulations

Wyo. Code R. 002.0017.10.02272024 Investment Adviser Regulations

Chapter 10

INVESTMENT ADVISER REGULATIONS

Section 1. Investment Adviser Registration.

(a) Initial Registration. The application for initial registration as an investment adviser pursuant to W.S. § 17-4-403(a) shall be made by completing the Uniform Application for Investment Adviser Registration, Form ADV, in accordance with the form instructions and by filing the form electronically with IARD. The application for initial registration shall include the following:

(i) Proof of compliance by the investment adviser with the examination requirements of Section 5 of this chapter;

(ii) Financial statements as set forth in Section 7 of this chapter, including a copy of the balance sheet for the last fiscal year, and if the balance sheet is older than 45 days from the date of filing of the application, an unaudited balance sheet prepared as set forth in Section 7;

(iii) A copy of the surety bond required by Section 10, if applicable;

(iv) The fee required by W.S. § 17-4-410(c), and;

(v) Any other information the Secretary of State may reasonably require.

(b) FORM ADV PART II. The Secretary of State may accept:

(i) A copy of Part II of Form ADV filed electronically with IARD; or

(ii) A paper copy of Part II of Form ADV filed directly with the Secretary of State.

(c) Annual renewal. The application for annual renewal registration as an investment adviser shall be filed electronically with IARD. The application for annual renewal registration shall include the following:

(i) The fee required by W.S. § 17-4-410(c), and;

(ii) A copy of the surety bond required by Section 10, if applicable.

(d) Updates and amendments. An investment adviser must file electronically with IARD, in accordance with the instructions in the Form ADV, any amendments to the investment adviser's Form ADV;

(i) An amendment will be considered to be filed promptly if the amendment is filed within thirty (30) days of the event requiring an amendment; and

(ii) Within ninety (90) days of the end of the investment adviser's fiscal year, an investment adviser must file electronically with IARD an Annual Updating Amendment to the Form ADV.

(e) Completion of filing. An application for initial or renewal registration is not considered filed for purposes of W.S. § 17-4-403(a) until the required fee and all required submissions have been received by the Secretary of State.

(f) Withdrawal. The application for withdrawal of registration as an investment adviser pursuant to W.S. § 17-4-409 shall be completed by following the instructions on the Notice of Withdrawal from Registration as Investment Adviser, Form ADV-W, and by filing the form electronically with IARD.

Section 2. Investment Adviser Representative Registration.

(a) Initial registration. The application for initial registration as an investment adviser representative pursuant to W.S. § 17-4-404(a) shall be made by completing the Uniform Application for Securities Industry Registration or Transfer, Form U4, in accordance with the form instructions and by filing the form electronically with IARD. The application for initial registration shall include the following:

(i) Proof of compliance by the investment adviser representative with the examination requirements of Section 5; and

(ii) The fee required by W.S. § 17-4-410(d).

(b) Annual Renewal. The application for annual renewal registration as an investment adviser representative shall be filed electronically with IARD and shall include the fee required by W.S. § 17-4-410(d).

(c) Updates and amendments. The investment adviser representative is under a continuing obligation to update information required by Form U4 as changes occur.

(i) An investment adviser representative and the investment adviser must electronically file promptly with IARD any amendments to the representative's Form U4; and

(ii) An amendment will be considered to be filed promptly if the amendment is filed within thirty (30) days of the event requiring an amendment.

(d) Completion of filing. An application for initial or renewal registration is not considered filed for purposes of W.S. § 17-4-404(a) until the required fee and all required submissions have been received by the Secretary of State.

(e) Withdrawal. The application for withdrawal of registration as an investment adviser representative pursuant to W.S. § 17-4-408(a) shall be completed by following the instructions on Uniform Termination Notice for Securities Industry Registration, Form U5, and by filing the form electronically with IARD within 30 days of the date of termination.

Section 3. Notice Filing Requirements for Federal Covered Investment Advisers.

(a) The notice filing for a federal covered investment adviser pursuant to W.S. § 17- 4-405(a) shall be filed electronically with IARD on an executed Form ADV. A notice filing of a federal covered investment adviser shall be considered filed when the fee required by W.S. § 17- 4-410(e) and the Form ADV are filed electronically with and accepted by IARD on behalf of the state.

(i) FORM ADV PART II. The Secretary of State may:

(A) Accept a copy of Part II of Form ADV as filed electronically with IARD; or

(B) Consider Part II of Form ADV filed if a federal covered investment adviser provides, within 5 days of a request, Part II of Form ADV to the Secretary of State. The Secretary of State considers Part II of Form ADV to be filed, therefore, a federal covered investment adviser is not required to submit Part II of Form ADV to the Secretary of State unless requested.

(b) Renewal. The annual renewal of the notice filing for a federal covered investment adviser pursuant to W.S. § 17-4-405(c) shall be filed electronically with IARD. The renewal of the notice filing for a federal covered investment adviser shall be considered filed when the fee required by W.S. § 17-4-410(e) is filed with and accepted by IARD on behalf of the state.

(c) Updates and amendments. A federal covered investment adviser must file electronically with IARD, in accordance with the instructions in Form ADV, any amendments to the federal covered investment adviser's Form ADV.

Section 4. Registration Exemption for Investment Advisers to Private Funds. The Secretary of State incorporates by reference NASAA's Registration Exemption for Investment Advisers to Private Funds Model Rule, adopted December 16, 2011, and amended October 8, 2013, found at www.nasaa.org.

Section 5. Examination Requirements.

(a) Unless otherwise waived by the Secretary of State, an investment adviser or an investment adviser representative shall take and pass within the two year period immediately preceding the date of the application:

(i) The Uniform Investment Adviser State Law Examination (S65); or

(ii) The Uniform Combined State Law Examination (S66) and the General Securities Representative Examination (S7).

(b) If the investment adviser is an entity, then a supervisory or control individual shall take and pass the examination(s) as required in subsection (a) of this Section.

(c) Any person who has been registered as an investment adviser or an investment adviser representative in any state requiring the licensing, registration or qualification of investment advisers or investment adviser representatives within the two year period immediately preceding the date of filing an application shall not be required to comply with the examination requirement set forth in subsection (a) of this Section.

(d) Compliance with subsections (a) and (b) is waived if the applicant has been awarded any of the following designations and at the time of filing an application is current and in good standing:

(i) Certified Financial Planner (CFP) awarded by the Certified Financial Planners Board of Standards.

(ii) Chartered Financial Consultant (ChFC) or Masters of Science and Financial Services (MSFS) awarded by the American College, Bryn Mawr, Pennsylvania.

(iii) Chartered Financial Analyst (CFA) awarded by the Institute of Chartered Financial Analysts.

(iv) Personal Financial Specialist (PFS) awarded by the American Institute of Certified Public Accountants.

(v) Chartered Investment Counselor (CIC) awarded by the Investment Adviser Association.

(e) An applicant who has taken and passed the Uniform Investment Adviser State Law Examination (S65) within two years prior to the date the application is filed with the Secretary of State or at any time if the applicant has been registered or licensed as an investment adviser, investment adviser representative or securities agent within the two years prior to the date the application is filed with the Secretary of State, is exempt from taking the Uniform Investment Adviser State Law Examination.

(f) An applicant who is an agent for a broker-dealer/investment adviser and who is not required by the agent's home jurisdiction to make a separate filing on CRD as an investment adviser representative but who has previously met the examination requirement in subsection (a) of this Section necessary to provide advisory services on behalf of the broker-dealer/investment adviser, is exempt from taking the Uniform Investment Adviser State Law Examination (S65).

(g) Persons considered to be investment adviser representatives only because they solicit, offer or negotiate for the sale of or sell investment advisory services in this state are not be required to take and pass the examinations in subsection (a) of Section 5.

Section 6. Minimum Financial Requirements for Investment Advisers.

(a) For purposes of this Section, the term "net worth," shall mean an excess of assets over liabilities, as determined by generally accepted accounting principles, but shall not include as assets: prepaid expenses (except as to items properly classified assets under generally accepted accounting principles), deferred charges, goodwill, franchise rights, organizational expenses, patents, copyrights, marketing rights, unamortized debt discount and expense, all other assets of intangible nature, home, home furnishings, automobile(s), and any other personal items not readily marketable in the case of an individual; advances or loans to stockholders and officers in the case of a corporation; and advances or loans to partners in the case of a partnership.

(b) An investment adviser registered or required to be registered under the Act who has custody of client funds or securities shall maintain at all times a minimum net worth of $35,000 except:

(i) An investment adviser having custody solely due to direct fee deduction and complying with the terms described under Section 11, subsection (b)(3) and related books and records, as described in Section 8, shall not be required to comply with the net worth or bonding requirements of this Section.

(ii) An investment adviser having custody solely due to advising pooled investment vehicles and complying with the terms described under Section 11, subsection (a)(v) or Section 11, subsection (b)(iv) and related books and records, as described in Section 8, shall not be required to comply with the net worth or bonding requirements of this Section.

(iii) An investment adviser registered or required to be registered under the Act who has discretionary authority over client funds or securities but does not have custody of client funds or securities shall maintain at all times a minimum net worth of $10,000.

(iv) An investment adviser having custody of or discretionary authority over client fund who is bonded in accordance with Section 10(c) of this Chapter.

(c) Unless otherwise exempted, as a condition of the right to transact business in this state, every investment adviser registered or required to be registered under the Act shall by the close of business on the next business day notify the Secretary of State if such investment adviser's net worth is less than the minimum required. On the following business day after transmitting such notice, each investment adviser shall file by the close of business, a report with the Secretary of State of its financial condition, including the following:

(i) A trial balance of all ledger accounts;

(ii) A statement of all client funds or securities which are not segregated;

(iii) A computation of the aggregate amount of client ledger debit balances; and

(iv) A statement as to the number of client accounts.

(d) For purposes of this Section an investment adviser shall not be considered to be exercising discretion when it places trade orders with a broker-dealer pursuant to a third party trading agreement if:

(i) The investment adviser has executed a separate investment adviser contract exclusively with its client which acknowledges that a third party trading agreement will be executed to allow the investment adviser to effect securities transactions for the client in the client's broker-dealer account; and

(ii) The investment adviser contract specifically states that the client does not grant discretionary authority to the investment adviser and the investment adviser in fact does not exercise discretion with respect to the account; and

(iii) A third party trading agreement is executed between the client and a broker-dealer which specifically limits the investment adviser's authority in the client's brokerdealer account to the placement of trade orders and deduction of investment adviser fees.

(e) The Secretary of State may require that a current appraisal be submitted in order to establish the worth of any asset.

(f) Every investment adviser that has its principal place of business in a state other than this state shall maintain only such minimum net worth as required by the state in which the investment adviser maintains its principal place of business, provided the investment adviser is registered or licensed in such state and is in compliance with such state's minimum capital requirements.

Section 7. Financial Reporting Requirements for Investment Advisers.

(a) Every registered investment adviser who has custody of client funds or securities or requires payment of advisory fees six months or more in advance and in excess of $500 per client shall file with the Secretary of State an audited balance sheet as of the end of the investment adviser's most recent fiscal year. Each balance sheet filed pursuant to this Section must be:

(i) Examined in accordance with generally accepted auditing standards and prepared in conformity with generally accepted accounting principles;

(ii) Audited by an independent certified public accountant; and

(iii) Accompanied by an opinion of the accountant as to the report of financial position, and by a note stating the principles used to prepare it, the basis of included securities, and any other explanations required for clarity.

(b) Every registered investment adviser who has discretionary authority over client funds or securities, but not custody, shall file with the Secretary of State a balance sheet, which need not be audited, but which must be prepared in accordance with generally accepted accounting principles or such other basis of accounting acceptable to the Secretary of State and represented by the investment adviser or the person who prepared the statement as true and accurate, as of the end of the investment adviser's most recent fiscal year.

(c) The financial statements required by this Section shall be filed with the Secretary of State within 90 days following the end of the investment adviser's fiscal year.

(d) Every investment adviser that has its principal place of business in a state other than this state shall file only such reports as required by the state in which the investment adviser maintains its principal place of business, provided the investment adviser is registered or licensed in such state and is in compliance with such state's financial reporting requirements.

Section 8. Recordkeeping Requirements. The Secretary of State incorporates by reference NASAA's Recordkeeping Requirements for Investment Advisers Model Rule USA 2002 41l(c)-1, Alternative 1, adopted September 17, 2008, and amended on September 11, 2011, and April 15, 2013, located at www.nasaa.org.

Section 9. Business Continuity and Succession Planning. Every investment adviser shall establish, implement, and maintain written procedures relating to a Business Continuity and Succession Plan. The plan shall be based upon the facts and circumstances of the investment adviser's business model including the size of the firm, type(s) of services provided, and the number of locations of the investment adviser. The plan shall provide for at least the following:

(a) The protection, backup, and recovery of books and records.

(b) Alternate means of communications with customers, key personnel, employees, vendors, service providers (including third-party custodians), and regulators, including, but not limited to, providing notice of a significant business interruption or the death or unavailability of key personnel or other disruptions or cessation of business activities.

(d) Assignment of duties to qualified responsible persons in the event of the death or unavailability of key personnel.

(e) Otherwise minimizing service disruptions and client harm that could result from a sudden significant business interruption.

(f) The Secretary of State incorporates by reference NASAA's GUIDANCE ON BUSINESS CONTINUITY AND SUCCESSION PLANNING FOR STATE-REGISTERED INVESTMENT ADVISERS adopted April 13, 2015, located at www.nasaa.org.

Section 10. Bonding Requirements for Investment Advisers.

(a) Any bond required by this Section shall be issued by a company qualified to do business in this state in the form determined by the Secretary of State and shall be subject to the claims of all clients of such investment adviser regardless of the client's state of residence.

(b) Every investment adviser registered or required to be registered under the Act having custody of or discretionary authority over client funds or securities shall be bonded in the amount of $10,000 unless a greater amount is otherwise determined by the Secretary of State.

(c) Independent of the bond amount required by subsection (b) of this Section, every investment adviser registered or required to be registered under the Act who has custody or discretion of client funds or securities who does not meet the minimum net worth standard in Section 6 shall be bonded in the amount of the net worth deficiency rounded up to the nearest $5,000. However an investment adviser registered or required to be registered under the Act who accepts prepayment of more than $500 per client and six or more months in advance shall maintain at all times a positive net worth of $35,000.

(d) An investment adviser that has its principal place of business in a state other than this state shall be exempt from the requirements of subsection (a) of this Section, provided that the investment adviser is registered or licensed as an investment adviser in the state where it has its principal place of business and is in compliance with such state's requirements relating to bonding.

(e) Required bond amounts of subsections (b) and (c) of this Section may be on separate bonds or combined in one bond at the discretion of the investment adviser and their surety holder unless otherwise determined by the Secretary of State.

Section 11. Custody Requirements for Investment Advisers. The Secretary of State incorporates by reference NASAA's Custody Requirements for Investment Advisers Model Rule USA 2002 411(f)-(1), Alternative 1, adopted September 17, 2008 and amended September 11, 2011, and April 15, 2013, located at www.nasaa.org.

Section 12. Investment Adviser Brochure. The Secretary of State incorporates by reference NASAA's Brochure Rule Requirements for Investment Advisers Model Rule 203(b)-1 adopted September 3, 1987 and amended September 11, 2011, located at www.nasaa.org.

Section 13. Prohibited Conduct in Providing Investment Advice. The Secretary of State incorporates by reference NASAA's Prohibited Conduct of Investment Advisers, Investment Adviser Representatives and Federal Covered Investment Advisers Model Rule USA 2002 502(b) adopted September 17, 2008, located at www.nasaa.org.

Section 14. Contents of an Investment Advisory Contract. The Secretary of State incorporates by reference NASAA's Contents of Investment Advisory Contract Model Rule USA 2002 502(c) adopted April 15, 2013, located at www.nasaa.org.

Section 15. Required Disclosures for Investments that Incorporate a Social Objective.

(a) If an investment adviser or investment adviser representative incorporates a social objective into a discretionary investment decision to buy or sell a security or commodity for a customer or client, advice or a recommendation to a customer or client for the purchase or sale of a security or commodity, or the selection, or advice or a recommendation to a customer or client regarding the selection of a third-party manager or subadviser to manage the investments in the customer or client's account, then such investment adviser or investment adviser representative shall disclose to such customer or client the existence of such incorporation.

(b) The disclosure obligation under subsection (a) of this section is satisfied by providing clear and conspicuous disclosure, via written communication. Thereafter, the disclosure shall be provided to the customer or client on an annual basis and whenever the investment adviser or investment adviser representative undergoes a suitability review with a customer or client.

History

Effective 2024-02-27

Chapter 11 Financial Technology Sandbox

Wyo. Code R. 002.0017.11.01282020 § 1 Authority and effective date

Wyoming Statute § 40-29-109(a) and 2019 Session Laws, Ch.61, § 4 require the Secretary of State to promulgate rules to implement the Financial Technology Sandbox Act on or before January 1, 2020. These rules shall take effect on January 1, 2020.

History

Effective 2020-01-28

Wyo. Code R. 002.0017.11.01282020 § 2 Statutes that the Secretary may waive

Of the statutes listed in W.S. 40-29-103(a), the Secretary administers and may waive W.S. 17-4-201 through -412, 17-16-101 through -1810, 17-28-101 through -111, and 17-29-101 through -1105.

History

Effective 2020-01-28

Wyo. Code R. 002.0017.11.01282020 § 3 Application

(a) Initial application. A person applying to exempt their financial product or service from specific statutes or rules shall complete and submit a financial technology sandbox application to the Wyoming Secretary of State's Office. The application shall be on a form prescribed by the Office.

(b) Extension application. If the Secretary of State's Office has granted a person a waiver under the Financial Technology Sandbox Act, the person may request an extension under W.S. 40-29-108 by completing a financial technology sandbox extension application. The application shall be on a form prescribed by the Office.

History

Effective 2020-01-28

Wyo. Code R. 002.0017.11.01282020 § 4 Validating residency

(a) Before agreeing to provide an innovative financial product or service, the person offering it shall validate the residency of the "consumer" as defined in W.S. 40-29-103(a)(iii).

(b) A person may validate a consumer's residency by

(i) collecting the consumer's name, address, and phone number, and

(ii) reviewing one or more of the following records or documents:

(A) A valid operator's license, chauffeur's license, or official personal identification card issued by this state;

(B) A current Wyoming voter registration;

(C) Any of the documents or combinations of documents that are sufficient to establish residency under Rules Wyo. Sec'y of State Election Procedures, Ch. 2, § 6.

History

Effective 2020-01-28

Wyo. Code R. 002.0017.11.01282020 § 5 Record requirements

In addition to the comprehensive records which persons selling innovative financial products or services must keep under W.S. 40-29-106(d), those persons must further maintain:

(a) All consumer contact information, including the information required in Section 3 of these rules;

(b) All agreements, contracts and subscription records;

(d) All financial statements and bank account records; and

(e) A copy of all advertisements the person selling the innovative financial product or service has used to market their product or service in Wyoming.

History

Effective 2020-01-28

Wyo. Code R. 002.0017.11.01282020 § 6 Conclusion of the sandbox period

A person who makes an innovative financial product or service available after receiving a waiver shall provide the Secretary of State with a copy of the written notification regarding the conclusion of the sandbox period that it sends to consumers under to W.S. 40-29-106(f).

History

Effective 2020-01-28

246 Trademark Act

Chapter 1 Trademark Information

Wyo. Code R. 002.0020.1.05032023 Trademark Information

Chapter 1

Trademark Information

Section 1. General Provisions.

(a) Authority. These rules are promulgated by the Secretary of State under W.S. 40-1-116.

(b) Definitions.

(i) "Applicant" means a person who has submitted an application for the registration of a mark to the Secretary of State.

(ii) "Authorized" is defined as being officially registered with the Secretary of State.

(iii) "Common ownership" means two or more businesses which are owned by the same person.

(iv) "Deceptively similar" means a proposed business name, trademark or service mark which is similar in appearance to, similar in sound to, or most pertinent words are the same as, an authorized trademark or service mark.

(v) "Proposed business name user," "proposed business mark user," "proposed business name," "proposed business mark" or phrases of similar import mean the applicant which is defined above.

(vi) "Ten days" means ten (10) business days.

(vii) "Twenty days" means twenty (20) calendar days.

(viii) "Written notice" means delivery by standard United States mail unless otherwise noted in the statute or rules. The Secretary of State may send notice by a more expedited or secure method such as priority mail, express delivery service, or email.

(i) In addition to the requirements set forth in W.S. 40-1-103, the application for registration of a mark shall include:

(A) The mailing address of the applicant;

(B) If applicant is a:

(I) Corporation, the state of incorporation; or

(II) Partnership, the state in which the partnership is organized and the names of the general partners; or

(III) Limited liability company, the state in which it is organized and the names of the managers or if it has no managers then the names of the members; or

(IV) Statutory trust, the state of organization and the names of its trustees; or

(V) Another juristic person as set forth in W.S. 40-1-103, the state in which the juristic person as defined in W.S. 40-1-101(d) is organized.

(C) A statement as to whether an application to register the mark has been filed by the applicant in the United States Patent and Trademark Office as set forth in W.S. 40-1-103(a)(v).

(ii) The renewal application shall include:

(A) The name and address of the applicant;

(B) If applicant is a:

(I) Corporation, the state of incorporation; or

(II) Partnership, the state in which the partnership is organized and the names of the general partners; or

(III) Limited liability company, the state in which it is organized and the names of the managers or if it has no managers then the names of the members; or

(IV) Statutory trust, the state of organization and the names of its trustees; or

(V) Another juristic person as set forth in W.S. 40-1-103, the state in which the juristic person as defined in W.S. 40-1-101(d) is organized.

(D) A written description of the trademark or service mark;

(E) The class number and title of the goods or services;

(F) A brief description of the goods or services within the class; and

(G) The mode or manner in which the mark is used.

(d) Forms.

(i) The Secretary of State shall prescribe filing and renewal forms.

(ii) The Secretary of State shall provide written notice to registrants whose trademarks or service marks are up for renewal six (6) months prior to the expiration date of the mark. Written notice may be provided via first class mail, email, or another delivery mechanism authorized by the Secretary of State.

(e) Fees.

Initial Trademark Registration	$100.00
Trademark Renewal	$50.00
Trademark Assignment	$25.00
Trademark Cancellation	$10.00

Section 2. Refused Mark Application.

(a) Marks Which Cannot be Registered. In addition to the provisions found in W.S. 40-1-102, a mark cannot be registered which is:

(i) A livestock brand;

(ii) An internet domain name;

(iii) A mark containing the Bucking Horse and Rider (BH&R) mark, as federally registered by the Secretary of State on behalf of the State of Wyoming. See rules regarding the BH&R at https://rules.wyo.gov.

(b) Procedure if Filing is Refused.

(i) If a filing officer refuses a mark because it is the same as, or deceptively similar to, a currently authorized mark, trade name or the name of a juristic person, the applicant may file a consent from the authorized business name or mark user if the applicant has common ownership with the authorized business name or mark user.

(ii) If a filing officer determines that an application is not entitled to registration for any reason set forth in W.S. 40-1-102 and these rules, the filing officer shall notify the applicant within twenty (20) days after the application is delivered, that it is not entitled to registration with a brief, written explanation of the reason. The applicant has ten (10) days from the delivery of the returned application to reply in writing or amend its application. Within twenty (20) days after delivery of the response or amendment to the Secretary of State, the filing officer shall:

(A) File the application;

(B) Request the application be amended;

(D) Refuse the application.

(iii) The procedures in (ii) shall continue to be followed until the filing officer either refuses to file the application or the applicant fails to reply or amend the application within the specified period of time.

(iv) If the filing officer refuses to file the application due to a deceptively similar name on file, the Secretary of State may notify the authorized name or mark user that he may present information as to why the refusal should or should not be granted. If the authorized name or mark user chooses to provide information, they shall do so within ten (10) days of delivery of the notification.

(v) If the Secretary of State refuses the application, or if the Secretary of State accepts an application that has been challenged because of its name, a final decision letter shall be issued which shall include the reasons for the decision. All parties shall be notified of the decision by certified letter.

(vi) This procedure shall be informal and shall not be a contested case proceeding. Any final decision may be appealed to the appropriate district court pursuant to the Wyoming Administrative Procedure Act. If this procedure is invoked, the thirty (30) day appeal time provided in Rule 12.04 of the Wyoming Rules of Appellate Procedure and the judicial review addressed in W.S. 16-3-114, does not begin to run until the Secretary of State issues a final decision letter as described above.

Section 3. Classification of Marks.

(a) Classification.

(i) The following general classes of goods and services are established for convenience of administration of W.S. 40-1-101 through -102. A single application for registration of a mark may include any or all goods upon which, or services with which, the mark is actually being used comprised in a single class. In no event shall a single application include goods or services upon which the mark is being used which fall within different classes of goods or services.

(ii) The classes are as follows:

(A) Goods:

1	Raw or partly prepared materials
2	Receptacles
3	Baggage, animal equipments, portfolios, and pocketbooks
4	Abrasives and polishing materials
5	Adhesives
6	Chemicals and chemical compositions
7	Cordage
8	Smokers' articles, not including tobacco products
9	Explosives, firearms, equipments, and projectiles
10	Fertilizers
11	Inks and inking materials
12	Construction materials
13	Hardware and plumbing and steam-fitting supplies
14	Metals and metal castings and forgings
15	Oils and greases
16	Paints and painters' materials
17	Tobacco products
18	Medicines and pharmaceutical preparations
19	Vehicles
20	Linoleum and oiled cloth
21	Electrical apparatus, machines, and supplies
22	Games, toys, and sporting goods
23	Cutlery, machinery, and tools, and parts thereof
24	Laundry appliances and machines
25	Locks and safes
26	Measuring and scientific appliances
27	Horological instruments
28	Jewelry and precious-metal ware
29	Brooms, brushes, and dusters
30	Crockery, earthenware, and porcelain
31	Filters and refrigerators
32	Furniture and upholstery
33	Glassware
34	Heating, lighting, and ventilating apparatus
35	Belting, hose, machinery packing, and nonmetallic tires
36	Musical instruments and supplies
37	Paper and stationery
38	Prints and publications
39	Clothing
40	Fancy goods, furnishings, and notions
41	Canes, parasols, and umbrellas
42	Knitted, netted and textile fabrics, and substitutes therefor
43	Thread and yarn
44	Dental, medical, and surgical appliances
45	Soft drinks and carbonated waters
46	Foods and ingredients of foods
47	Wines
48	Malt beverages and liquors
49	Distilled alcoholic liquors
50	Merchandise not otherwise classified
51	Cosmetics and toilet preparations
52	Detergents and soaps

(B) Services:

100	Miscellaneous
101	Advertising and business
102	Insurance and financial
103	Construction and repair
104	Communications
105	Transportation and storage
106	Material treatment
107	Education and entertainment
108	Technology and technology services

History

Effective 2023-05-03