Utah · Regulations
R628-15 — Certification as an Investment Adviser
13 sections
13 sections
- R628-15-1R628-15-1. Authority
- R628-15-2R628-15-2. Scope
- R628-15-3R628-15-3. Purpose
- R628-15-4R628-15-4. Definitions
- R628-15-5R628-15-5. General Rule
- R628-15-6R628-15-6. Criteria for Certification of an Investment Adviser
- R628-15-7R628-15-7. Use of an Adviser's Approved List of Broker-Dealers
- R628-15-8R628-15-8. Certification
- R628-15-9R628-15-9. Renewal of Application
- R628-15-10R628-15-10. Post Certification Requirements
- R628-15-11R628-15-11. Notification of Certification
- R628-15-12R628-15-12. Grounds for Denial, Suspension or Termination of Status as a Certified Investment Adviser
- R628-15-13R628-15-13. Procedures for Denial, Suspension, or Termination and Reinstatement of Status