Chapter 1 - UTAH UNIFORM SECURITIES ACT
- Section 61-1-1 - Fraud unlawful
- Section 61-1-2 - Investment adviser - Unlawful acts
- Section 61-1-3 - Licensing of broker-dealers, agents, investment advisers, and investment adviser representatives
- Section 61-1-4 - Licensing and notice filing procedure
- Section 61-1-5 - Postlicensing provisions
- Section 61-1-6 - Sanctions
- Section 61-1-6.5 - Court-ordered discipline
- Section 61-1-7 - Registration before sale
- Section 61-1-9 - Registration by coordination
- Section 61-1-10 - Registration by qualification
- Section 61-1-11 - Provisions applicable to registration generally
- Section 61-1-11.1 - Hearings for certain exchanges of securities
- Section 61-1-12 - Denial, suspension, and revocation of registration
- Section 61-1-13 - Definitions
- Section 61-1-14 - Exemptions
- Section 61-1-14.5 - Burden of proving exemption
- Section 61-1-15 - Filing of sales literature
- Section 61-1-15.5 - Federal covered securities
- Section 61-1-16 - False statements unlawful
- Section 61-1-17 - No finding by division on merits - Contrary representation unlawful
- Section 61-1-18 - Division of Securities established - Director - Investigators
- Section 61-1-18.1 - Technical experts and specialists - Employment - Contracts
- Section 61-1-18.2 - Budget - Annual report
- Section 61-1-18.3 - Information obtained by division or commission - Use for personal benefit prohibited - Disclosure
- Section 61-1-18.4 - Fees collected by division
- Section 61-1-18.5 - Securities Commission - Transition
- Section 61-1-18.6 - Procedures - Adjudicative proceedings
- Section 61-1-18.7 - Funding of securities investor education, training, and enforcement
- Section 61-1-18.8 - Concurrence under this chapter
- Section 61-1-19 - Investigations authorized
- Section 61-1-20 - [Effective Until 7/1/2024] Enforcement
- Section 61-1-20 - [Effective 7/1/2024] Enforcement
- Section 61-1-21 - Penalties for violations
- Section 61-1-21.1 - Limitation of prosecutions
- Section 61-1-21.5 - Legal counsel - Prosecutions
- Section 61-1-22 - Sales and purchases in violation - Remedies - Limitation of actions
- Section 61-1-23 - Review of orders
- Section 61-1-24 - Rules, forms, and orders
- Section 61-1-25 - Record of registrations
- Section 61-1-26 - Scope of the act - Service of process
- Section 61-1-27 - Construction of chapter
- Section 61-1-28 - Citation of chapter
- Section 61-1-29 - Savings clause
- Section 61-1-31 - Determining amount of fine
- Section 61-1-32 - Exemptions from licensure
- Section 61-1-101 - Title
- Section 61-1-102 - Definitions
- Section 61-1-103 - Procedure for disclosure
- Section 61-1-104 - Reporter protected from adverse action - Exceptions
- Section 61-1-105 - [Effective Until 7/1/2024] Remedies for employee bringing action
- Section 61-1-105 - [Effective 7/1/2024] Remedies for employee bringing action
- Section 61-1-106 - Award for reporter
- Section 61-1-107 - Procedures related to an award to a reporter
- Section 61-1-108 - Notice of contents of this part - May not waive - Nonexclusive
- Section 61-1-201 - Definitions
- Section 61-1-202 - Governmental and third party disclosures
- Section 61-1-203 - Immunity for governmental and third party disclosures
- Section 61-1-204 - Delaying disbursements or transactions
- Section 61-1-205 - Immunity for delaying disbursements or transactions
- Section 61-1-206 - Records