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8 chapters · 227 sections in this title.
Utah Code § 61-1-31 Determining amount of fine.
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61-1-31. Determining amount of fine. For the purpose of determining the amount of a fine imposed under this chapter, the commission or court shall consider the following factors: (1) the seriousness, nature, circumstances, extent, and persistence of the conduct constituting the v…
Utah Code § 61-1-32 Exemptions from licensure.
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61-1-32. Exemptions from licensure. (1) As used in this section, "DOD civilian" means the same as that term is defined in Section. 53H-11-202 (2) Except as otherwise provided by statute or rule, the following individuals may engage in the practice of an occupation or profession r…
Utah Code § 61-1-4 Licensing and notice filing procedure.
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61-1-4. Licensing and notice filing procedure. (1) A broker-dealer, agent, investment adviser, or investment adviser representative shall obtain an initial or renewal license by filing with the division or its designee an application together with a consent to service of process …
Utah Code § 61-1-5 Postlicensing provisions.
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61-1-5. Postlicensing provisions. (1) A licensed broker-dealer and investment adviser shall make and keep such accounts, correspondence, memoranda, papers, books, and other records as the division by rule prescribes, except as provided in: Section 15 of the Securities Exchange Ac…