Utah Administrative Code
Topic - Commerce
Title R164 - Securities
Rule R164-1 - Fraudulent Practices of Broker-Dealers, Broker-Dealer Agents, and Issuer-Agents
Section R164-1-2 - Incorporation by Reference
Universal Citation: UT Admin Code R 164-1-2
Current through Bulletin 2024-18, September 15, 2024
The following rules of the Securities Exchange Commission ("SEC") are adopted and incorporated by reference and available from the SEC:
(1) Rule 11Aa3-1, regarding the dissemination of transaction reports and last sale data with respect to transactions in reported securities, 17 CFR 240.11Aa3-1 (2005);
(2) Rule 2-02, regarding accountant's reports, 17 CFR 210.2-02 (2020); and
(3) Rule 12g3-2(b), regarding exemptions for American depositary receipts and certain foreign securities, 17 CFR 240.12g3-2 (2020).
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