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Utah Administrative Code
Title 164
Rule 4
Utah Admin. Code R164-4
Licensing Requirements
Effective Nov 22, 2010
Commerce
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1
Broker-Dealer, Broker-Dealer Agent, and Issuer-Agent Licensing Requirements
2
Investment Adviser and Investment Adviser Representative Licensing Requirements
3
General Licensing Requirements
4
Minimum Financial Requirements and Financial Reporting Requirements of Licensed Broker-Dealers and Investment Advisers
5
Bonding Requirements for Broker-Dealers, Broker-Dealer Agents, Issuer-Agents, and Investment Advisers
6
Notice Filing Requirements for Federal Covered Advisers
7
Broker-dealers, Investment Advisers and Other Securities Personnel Using the Internet for General Dissemination of Information on Products and Services
8
Exclusion for Certain Canadian Brokers and Securities Exemption
9
Exemptions From Licensing Requirements for Investment Advisers Providing Advice to Certain Institutional Investors