Utah Admin. Code 590-68-10

Current through Bulletin 2024-24, December 15, 2024

Section R590-68-10 - Exemption From Section 31A-5-303 of Securities Purchased or Sold by Odd-Lot Dealers

Securities purchased or sold by an odd-lot dealer in odd lots to carry on odd-lot transactions, or in round lots to offset odd-lot transactions, executed in the usual course of business are exempt from Section 31A-5-303 regarding participation by the odd-lot dealer.

Utah Admin. Code R590-68-10

Adopted by Utah State Bulletin Number 2023-12, effective 6/9/2023