Utah · Regulations
R164-4 — Licensing Requirements
9 sections
9 sections
- R164-4-1R164-4-1. Broker-Dealer, Broker-Dealer Agent, and Issuer-Agent Licensing Requirements
- R164-4-2R164-4-2. Investment Adviser and Investment Adviser Representative Licensing Requirements
- R164-4-3R164-4-3. General Licensing Requirements
- R164-4-4R164-4-4. Minimum Financial Requirements and Financial Reporting Requirements of Licensed Broker-Dealers and Investment Advisers
- R164-4-5R164-4-5. Bonding Requirements for Broker-Dealers, Broker-Dealer Agents, Issuer-Agents, and Investment Advisers
- R164-4-6R164-4-6. Notice Filing Requirements for Federal Covered Advisers
- R164-4-7R164-4-7. Broker-dealers, Investment Advisers and Other Securities Personnel Using the Internet for General Dissemination of Information on Products and Services
- R164-4-8R164-4-8. Exclusion for Certain Canadian Brokers and Securities Exemption
- R164-4-9R164-4-9. Exemptions From Licensing Requirements for Investment Advisers Providing Advice to Certain Institutional Investors