Utah Admin. Code R331-5-3 - Registration with the Department
(1)
Any person under the jurisdiction of the department who issues, offers, offers
to sell, offers for sale or sells any security, the issuer of which is also a
person under the jurisdiction of the department, after the effective date of
this rule, shall register with the department on forms as the department may
require.
(2) No person may issue,
offer, offer to sell, offer for sale or sell any security of which the issuer
is also a person under the jurisdiction of the department, unless and until the
department has provided notice to the issuer that the securities have been
registered with the department and an offering circular containing, at a
minimum, the information required in Rule
R331-5-4,
has been approved by the department.
Notes
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
No prior version found.