Utah · Regulations
Program 164 — Securities
55 sections
16 groups
- R164-1 — Fraudulent Practices of Broker-Dealers, Broker-Dealer Agents, and Issuer-Agents4 sections
- R164-2 — Investment Adviser - Unlawful Acts10 sections
- R164-4 — Licensing Requirements9 sections
- R164-5 — Broker-Dealer and Investment Adviser Books and Records2 sections
- R164-6 — Denial, Suspension or Revocation of a License1 section
- R164-9 — Registration by Coordination3 sections
- R164-10 — Registration by Qualification1 section
- R164-11 — Registration Statement3 sections
- R164-12 — Sales Commission1 section
- R164-14 — Exemptions12 sections
- R164-15 — Federal Covered Securities4 sections
- R164-18 — Procedures1 section
- R164-25 — Record of Registration1 section
- R164-26 — Consent to Service of Process1 section
- R164-32 — Codification of Precedent1 section
- R164-101 — Securities Fraud Reporting Program Act1 section