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Utah Administrative Code
Title 628
Rule 15
Utah Admin. Code R628-15
Certification as an Investment Adviser
Effective Aug 21, 2017
Money Management Council
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Authority
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Scope
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Purpose
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Definitions
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General Rule
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Criteria for Certification of an Investment Adviser
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Use of an Adviser's Approved List of Broker-Dealers
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Certification
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Renewal of Application
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Post Certification Requirements
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Notification of Certification
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Grounds for Denial, Suspension or Termination of Status as a Certified Investment Adviser
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Procedures for Denial, Suspension, or Termination and Reinstatement of Status