There is a newer version of the Utah Code
2015 Utah Code
Title 61 - Securities Division - Real Estate Division
Chapter 1 - Utah Uniform Securities Act
- Section 1 - Fraud unlawful.
- Section 2 - Investment adviser -- Unlawful acts.
- Section 3 - Licensing of broker-dealers, agents, investment advisers, and investment adviser representatives.
- Section 4 - Licensing and notice filing procedure.
- Section 5 - Postlicensing provisions.
- Section 6 - Denial, suspension, revocation, cancellation, or withdrawal of license -- Sanctions.
- Section 6.5 - Court-ordered discipline.
- Section 7 - Registration before sale.
- Section 9 - Registration by coordination.
- Section 10 - Registration by qualification.
- Section 11 - Provisions applicable to registration generally.
- Section 11.1 - Hearings for certain exchanges of securities.
- Section 12 - Denial, suspension, and revocation of registration.
- Section 13 - Definitions.
- Section 14 - Exemptions.
- Section 14.5 - Burden of proving exemption.
- Section 15 - Filing of sales literature.
- Section 15.5 - Federal covered securities.
- Section 16 - False statements unlawful.
- Section 17 - No finding by division on merits -- Contrary representation unlawful.
- Section 18 - Division of Securities established -- Director -- Investigators.
- Section 18.1 - Technical experts and specialists -- Employment -- Contracts.
- Section 18.2 - Budget -- Annual report.
- Section 18.3 - Information obtained by division or commission -- Use for personal benefit prohibited -- Disclosure.
- Section 18.4 - Fees collected by division.
- Section 18.5 - Securities Commission -- Transition.
- Section 18.6 - Procedures -- Adjudicative proceedings.
- Section 18.7 - Funding of securities investor education, training, and enforcement.
- Section 19 - Investigations authorized.
- Section 20 - Enforcement.
- Section 21 - Penalties for violations.
- Section 21.1 - Limitation of prosecutions.
- Section 21.5 - Legal counsel -- Prosecutions.
- Section 22 - Sales and purchases in violation -- Remedies -- Limitation of actions.
- Section 23 - Review of orders.
- Section 24 - Rules, forms, and orders.
- Section 25 - Record of registrations.
- Section 26 - Scope of the act -- Service of process.
- Section 27 - Construction of chapter.
- Section 28 - Citation of chapter.
- Section 29 - Savings clause.
- Part 1 - Securities Fraud Reporting Program Act
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.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.