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Utah Admin. Code R628-15 – Certification as an Investment Adviser | Midpage
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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
1
Authority
2
Scope
3
Purpose
4
Definitions
5
General Rule
6
Criteria for Certification of an Investment Adviser
7
Use of an Adviser's Approved List of Broker-Dealers
8
Certification
9
Renewal of Application
10
Post Certification Requirements
11
Notification of Certification
12
Grounds for Denial, Suspension or Termination of Status as a Certified Investment Adviser
13
Procedures for Denial, Suspension, or Termination and Reinstatement of Status