Utah Uniform Securities Act

  1. Law
  2. Utah Code
  3. Securities Division - Real Estate Division
  4. Utah Uniform Securities Act

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Section
1

Fraud unlawful.

Part
1

Securities Fraud Reporting Program Act

Section
2

Investment adviser -- Unlawful acts.

Part
2

Protection of Vulnerable Adults from Financial Exploitation Act

Section
3

Licensing of broker-dealers, agents, investment advisers, and investment adviser representatives.

Section
4

Licensing and notice filing procedure.

Section
5

Postlicensing provisions.

Section
6

Sanctions.

Section
6.5

Court-ordered discipline.

Section
7

Registration before sale.

Section
9

Registration by coordination.

Section
10

Registration by qualification.

Section
11

Provisions applicable to registration generally.

Section
11.1

Hearings for certain exchanges of securities.

Section
12

Denial, suspension, and revocation of registration.

Section
13

Definitions.

Section
14

Exemptions.

Section
14.5

Burden of proving exemption.

Section
15

Filing of sales literature.

Section
15.5

Federal covered securities.

Section
16

False statements unlawful.

Section
17

No finding by division on merits -- Contrary representation unlawful.

Section
18

Division of Securities established -- Director -- Investigators.

Section
18.1

Technical experts and specialists -- Employment -- Contracts.

Section
18.2

Budget -- Annual report.

Section
18.3

Information obtained by division or commission -- Use for personal benefit prohibited -- Disclosure.

Section
18.4

Fees collected by division.

Section
18.5

Securities Commission -- Transition.

Section
18.6

Procedures -- Adjudicative proceedings.

Section
18.7

Funding of securities investor education, training, and enforcement.

Section
18.8

Concurrence under this chapter.

Section
19

Investigations authorized.

Section
20

Enforcement.

Section
21

Penalties for violations.

Section
21.1

Limitation of prosecutions.

Section
21.5

Legal counsel -- Prosecutions.

Section
22

Sales and purchases in violation -- Remedies -- Limitation of actions.

Section
23

Review of orders.

Section
24

Rules, forms, and orders.

Section
25

Record of registrations.

Section
26

Scope of the act -- Service of process.

Section
27

Construction of chapter.

Section
28

Citation of chapter.

Section
29

Savings clause.

Section
31

Determining amount of fine.

Section
32

Exemptions from licensure.