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U.S. State Codes
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Utah
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Title 61 - Securities Divis...
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Chapter 1 - Utah Uniform Securities Act
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 - 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 18.8 - Concurrence under this chapter.
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.
Section 31 - Determining amount of fine.
Section 32 - Exemptions from licensure.
Part 1 - Securities Fraud Reporting Program Act
Part 2 - Protection of Vulnerable Adults from Financial Exploitation Act