Utah Admin. Code R628-15-7
Use of an Adviser's Approved List of Broker-Dealers
Effective Aug 21, 201751-7-3(3); 51-7-18(2)(b)(vi); 51-7-18(2)(b)(vii); 51-7-11.5(2)(b); 51-7-11.5(2)(c)Money Management Council
If an investment adviser intends to use their own approved list of brokers-dealers, those broker-dealers on the adviser's approved list must qualify under SEC Rule 15C3-1 or other applicable regulatory requirements.
KEY: cash management, public investments, securities regulations, investment advisers
Date of Last Change: August 21, 2017
Notice of Continuation: July 7, 2025
Authorizing, and Implemented or Interpreted Law: 51-7-3(3); 51-7-18(2)(b)(vi); 51-7-18(2)(b)(vii); 51-7-11.5(2)(b); 51-7-11.5(2)(c)