Utah Administrative Code

The Utah Administrative Code is the body of all effective administrative rules as compiled and organized by the Division of Administrative Rules (see Subsection 63G-3-102(5); see also Sections 63G-3-701 and 702).

NOTE: For a list of rules that have been made effective since , please see the codification segue page.

Table of Contents for Title R164

Title R164. Commerce, Securities.

As in effect on October 1, 2018

Download all rules in the title in a ZIP file.

  1. R164-1. Fraudulent Practices. (Download the RTF file)
  2. R164-2. Investment Adviser - Unlawful Acts. (Download the RTF file)
  3. R164-4. Licensing Requirements. (Download the RTF file)
  4. R164-5. Broker-Dealer and Investment Adviser Books and Records. (Download the RTF file)
  5. R164-6. Denial, Suspension or Revocation of a License. (Download the RTF file)
  6. R164-9. Registration by Coordination. (Download the RTF file)
  7. R164-10. Registration by Qualification. (Download the RTF file)
  8. R164-11. Registration Statement. (Download the RTF file)
  9. R164-12. Sales Commission. (Download the RTF file)
  10. R164-14. Exemptions. (Download the RTF file)
  11. R164-15. Federal Covered Securities. (Download the RTF file)
  12. R164-18. Procedures. (Download the RTF file)
  13. R164-25. Record of Registration. (Download the RTF file)
  14. R164-26. Consent to Service of Process. (Download the RTF file)
  15. R164-32. Codification of Precedent. (Download the RTF file)
  16. R164-101. Securities Fraud Reporting Program Act. (Download the RTF file)

Additional Information

Contact

For questions regarding the content or application of rules under Title R164, please contact the promulgating agency. A list of agencies with links to their homepages is available at http://www.utah.gov/government/agencylist.html or from http://www.rules.utah.gov/contact/agencycontacts.htm.