Utah Admin. Code R628-16-2 - Scope

Current through Bulletin No. 2021-18, September 15, 2021

This rule establishes the criteria applicable to all broker-dealers and agents for certification by the Director of the Securities Division of the Department of Commerce (the "Director") as eligible to conduct investment transactions under the State Money Management Act. It further establishes the application contents and procedures, and the procedures for termination and reinstatement of certification.

Notes

Utah Admin. Code R628-16-2

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