Utah Administrative Code
Topic - Commerce
Title R164 - Securities
Rule R164-4 - Licensing Requirements
Section R164-4-6 - Notice Filing Requirements for Federal Covered Advisers
Universal Citation: UT Admin Code R 164-4-6
Current through Bulletin 2024-06, March 15, 2024
(A) Authority and purpose
(1) The Division enacts this rule
under authority granted by Sections
61-1-4
and
61-1-24.
(2) This rule provides the notice filing
requirements for federal covered advisers.
(B) Definitions
(1) "Division" means the Division of
Securities, Utah Department of Commerce.
(2) "SEC" means the United States Securities
and Exchange Commission.
(C) Notice Filings
Federal covered advisers required to file notice filings pursuant to Subsection 61-1-4(2), must file with IARD the following:
(1)
an executed SEC Form ADV - Uniform Application for Investment Adviser
Registration; and
(2) a filing fee
as specified in the Division's fee schedule.
(D) Notice filing renewals
(1) All notice filings expire on December 31
of each year.
(2) To renew notice
filings, a federal covered adviser must submit the following to IARD before
December 31:
(2)(a) a copy of the federal
covered adviser's most recent SEC Form ADV; and
(2)(b) a filing fee as specified in the
Division's fee schedule.
Disclaimer: These regulations may not be the most recent version. Utah may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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