Utah Administrative Code
Topic - Commerce
Title R164 - Securities
Rule R164-2 - Investment Adviser - Unlawful Acts
Section R164-2-10 - Custody Requirements for Investment Advisers
Universal Citation: UT Admin Code R 164-2-10
Current through Bulletin 2024-18, September 15, 2024
It is unlawful and a fraudulent, deceptive, or manipulative act, practice or course of business for an investment adviser licensed or required to be licensed under Section 61-1-3 to have custody of client funds or securities unless the investment adviser complies with the requirements of Rule 206(4)-2 of the Investment Advisers Act of 1940 (2020).
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