Utah Admin. Code R164-4 - Licensing Requirements
- § R164-4-1 - Broker-Dealer, Broker-Dealer Agent, and Issuer-Agent Licensing Requirements
- § R164-4-2 - Investment Adviser and Investment Adviser Representative Licensing Requirements
- § R164-4-3 - General Licensing Requirements
- § R164-4-4 - Minimum Financial Requirements and Financial Reporting Requirements of Licensed Broker- Dealers and Investment Advisers
- § R164-4-5 - Bonding Requirements for Broker-Dealers, Broker-Dealer Agents, Issuer-Agents, and Investment Advisers
- § R164-4-6 - Notice Filing Requirements for Federal Covered Advisers
- § R164-4-7 - Broker-dealers, Investment Advisers and Other Securities Personnel Using the Internet for General Dissemination of Information on Products and Services
- § R164-4-8 - Exclusion for Certain Canadian Brokers and Securities Exemption
- § R164-4-9 - Exemptions From Licensing Requirements for Investment Advisers Providing Advice to Certain Institutional Investors
Notes
61-1-3; 61-1-4; 61-1-5; 61-1-6; 61-1-13; 61-1-14; 61-1-24
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.