Utah Administrative Code
Topic - Commerce
Title R164 - Securities
Rule R164-4 - Licensing Requirements
- Section R164-4-1 - Broker-Dealer, Broker-Dealer Agent, and Issuer-Agent Licensing Requirements
- Section R164-4-2 - Investment Adviser and Investment Adviser Representative Licensing Requirements
- Section R164-4-3 - General Licensing Requirements
- Section R164-4-4 - Minimum Financial Requirements and Financial Reporting Requirements of Licensed Broker- Dealers and Investment Advisers
- Section R164-4-5 - Bonding Requirements for Broker-Dealers, Broker-Dealer Agents, Issuer-Agents, and Investment Advisers
- Section R164-4-6 - Notice Filing Requirements for Federal Covered Advisers
- Section R164-4-7 - Broker-dealers, Investment Advisers and Other Securities Personnel Using the Internet for General Dissemination of Information on Products and Services
- Section R164-4-8 - Exclusion for Certain Canadian Brokers and Securities Exemption
- Section R164-4-9 - Exemptions From Licensing Requirements for Investment Advisers Providing Advice to Certain Institutional Investors
Current through Bulletin 2024-24, December 15, 2024
Authorizing, Implemented, or
Interpreted Law
61-1-3;
61-1-4;
61-1-5;
61-1-6;
61-1-13;
61-1-14;
61-1-24
6/27/2022
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