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  1. LII
  2. State Regulations
  3. Utah Administrative Code
  4. Topic - Commerce
  5. Title R164 - Securities

Title R164 - Securities

  • State Regulations
  • Compare
  1. Rule R164-1 - Fraudulent Practices of Broker-Dealers, Broker-Dealer Agents, and Issuer-Agents (§ R164-1-1 to R164-1-4)
  2. Rule R164-2 - Investment Adviser - Unlawful Acts (§ R164-2-1 to R164-2-10)
  3. Rule R164-4 - Licensing Requirements (§ R164-4-1 to R164-4-9)
  4. Rule R164-5 - Broker-Dealer and Investment Adviser Books and Records (§ R164-5-1 to R164-5-3)
  5. Rule R164-6 - Denial, Suspension or Revocation of a License (§ R164-6-1g)
  6. Rule R164-9 - Registration by Coordination (§ R164-9-1 to R164-9-3b)
  7. Rule R164-10 - Registration by Qualification (§ R164-10-2)
  8. Rule R164-11 - Registration Statement (§ R164-11-1 to R164-11-7b)
  9. Rule R164-12 - Sales Commission (§ R164-12-1f)
  10. Rule R164-14 - Exemptions (§ R164-14-1e to R164-14-27v)
  11. Rule R164-15 - Federal Covered Securities (§ R164-15-1 to R164-15-4)
  12. Rule R164-18 - Procedures (§ R164-18-6)
  13. Rule R164-25 - Record of Registration (§ R164-25-5)
  14. Rule R164-26 - Consent to Service of Process (§ R164-26-6)
  15. Rule R164-31 - Administrative Fines (Repealed) (§ R164-31-1)
  16. Rule R164-32 - Codification of Precedent (§ R164-32-1)
  17. Rule R164-101 - Securities Fraud Reporting Program Act (§ R164-101-1)

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.

State Regulations Toolbox

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