002-5 Wyo. Code R. §§ 5-6 - 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.

Notes

002-5 Wyo. Code R. §§ 5-6

Amended, Eff. 2/27/2024.