Utah Administrative Code
Topic - Commerce
Title R164 - Securities
Rule R164-26 - Consent to Service of Process
Section R164-26-6 - Consent to Service
Universal Citation: UT Admin Code R 164-26-6
Current through Bulletin 2024-18, September 15, 2024
(A) Authority and purpose
(1) The Division enacts this rule
under authority granted by Sections
61-1-26
and
61-1-24.
(2) This rule designates the form to be used
for consents to service of process.
(B) Definitions
(1) "Act" means Title 61, Chapter 1, Utah
Uniform Securities Act.
(2)
"Division" means the Division of Securities, Utah Department of
Commerce.
(C) Form
(1) Except as provided in subparagraph
(C)(2), for the purposes of all rules, regulations, orders of the Division, or
the Act, the Consent to Service of Process which is to be used, is the NASAA
Form U-2 - Uniform Consent to Service of Process.
(2) A Form U-4, Uniform Application for
Securities Industry Registration or Transfer, Form ADV, Uniform Application for
Investment Adviser Registration, and Form BD, Uniform Application for
Broker-Dealer Registration, may be used in lieu of the Form U-2 provided that
an originally executed copy of such form is filed with the Division
(D) Agent
All consents to service of process filed with the Division shall appoint the "Director, Utah Division of Securities" as agent for service of process.
(E) Incorporation by reference
For purposes of consents to service of process required to be filed under the Act, a broker-dealer, agent, federal covered adviser, investment adviser, investment adviser representative, or issuer may incorporate by reference in a current application any consent to service of process previously filed with the Division by such person or entity.
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