Utah Administrative Code
Topic - Commerce
Title R164 - Securities
Rule R164-2 - Investment Adviser - Unlawful Acts
Section R164-2-1 - Authority and Purpose
Universal Citation: UT Admin Code R 164-2-1
Current through Bulletin 2024-18, September 15, 2024
(1) The division enacts this rule under authority granted by Sections 61-1-2 and 61-1-24.
(2) This rule sets the requirements whereby an investment adviser may receive performance-based compensation for investment advisory services rendered and sets forth the requirements for investment advisers with custody of client funds or securities.
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