Utah Chapter 01 — Utah Uniform Securities Act
- 61-1-1 — Fraud unlawful.
- 61-1-2 — Investment adviser -- Unlawful acts.
- 61-1-3 — Licensing of broker-dealers, agents, and investment advisers.
- 61-1-4 — Licensing and notice filing procedure.
- 61-1-5 — Postlicensing provisions.
- 61-1-6 — Denial, suspension, revocation, cancellation, or withdrawal of license -- Sanctions.
- 61-1-6.5 — Court-ordered discipline.
- 61-1-7 — Registration before sale.
- 61-1-8 — Registration by notification.
- 61-1-9 — Registration by coordination.
- 61-1-10 — Registration by qualification.
- 61-1-11 — Provisions applicable to registration generally.
- 61-1-11.1 — Hearings for certain exchanges of securities.
- 61-1-12 — Denial, suspension, and revocation of registration.
- 61-1-13 — Definitions.
- 61-1-14 — Exemptions.
- 61-1-14.5 — Burden of proving exemption.
- 61-1-15 — Filing of sales literature.
- 61-1-15.5 — Federal covered securities.
- 61-1-16 — False statements unlawful.
- 61-1-17 — No finding by division on merits -- Contrary representation unlawful.
- 61-1-18 — Division of Securities established -- Director -- Appointment -- Functions -- Investigators.
- 61-1-18.1 — Technical experts and specialists -- Employment -- Contracts.
- 61-1-18.2 — Budget -- Annual report.
- 61-1-18.3 — Information obtained by division -- Use for personal benefit prohibited -- Disclosure.
- 61-1-18.4 — Fees collected by division.
- 61-1-18.5 — Securities Advisory Board established -- Appointment -- Duties -- Qualifications -- Terms -- Vacancies -- Meetings -- Conflicts of interest -- Expenses.
- 61-1-18.6 — Procedures -- Adjudicative proceedings.
- 61-1-18.7 — Funding of securities investor education and training.
- 61-1-19 — Investigations authorized.
- 61-1-20 — Enforcement.
- 61-1-21 — Penalties for violations.
- 61-1-21.1 — Limitation of prosecutions.
- 61-1-21.5 — Legal counsel -- Prosecutions.
- 61-1-22 — Sales and purchases in violation -- Remedies -- Limitation of actions.
- 61-1-23 — Review of orders.
- 61-1-24 — Rules, forms, and orders of division.
- 61-1-25 — Record of registrations.
- 61-1-26 — Scope of the act -- Service of process.
- 61-1-27 — Construction of chapter.
- 61-1-28 — Citation of chapter.
- 61-1-29 — Savings clause.
- 61-1-30 — Prior law repealed -- Savings clause.