There is a newer version of the Utah Code
2006 Utah Code - 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- 61-1-30 — Prior law repealed -- Savings clause.
Disclaimer: These codes 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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