Utah Code -- Title 61 -- Chapter 01 -- Utah Uniform Securities Act

Code in HTML Format with Links to Zipped WordPerfect

Updated: 28 May 2009

61-1-1    Fraud unlawful.

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61-1-2    Investment adviser -- Unlawful acts.

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61-1-3    Licensing of broker-dealers, agents, and investment advisers.

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61-1-4    Licensing and notice filing procedure.

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61-1-5    Postlicensing provisions.

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61-1-6    Denial, suspension, revocation, cancellation, or withdrawal of license -- Sanctions.

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61-1-6.5    Court-ordered discipline.

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61-1-7    Registration before sale.

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61-1-9    Registration by coordination.

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61-1-10    Registration by qualification.

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61-1-11    Provisions applicable to registration generally.

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61-1-11.1    Hearings for certain exchanges of securities.

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61-1-12    Denial, suspension, and revocation of registration.

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61-1-13    Definitions.

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61-1-14    Exemptions.

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61-1-14.5    Burden of proving exemption.

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61-1-15    Filing of sales literature.

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61-1-15.5    Federal covered securities.

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61-1-16    False statements unlawful.

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61-1-17    No finding by division on merits -- Contrary representation unlawful.

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61-1-18    Division of Securities established -- Director -- Investigators.

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61-1-18.1    Technical experts and specialists -- Employment -- Contracts.

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61-1-18.2    Budget -- Annual report.

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61-1-18.3    Information obtained by division or commission -- Use for personal benefit prohibited -- Disclosure.

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61-1-18.4    Fees collected by division.

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61-1-18.5    Securities Commission -- Transition.

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61-1-18.6    Procedures -- Adjudicative proceedings.

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61-1-18.7    Funding of securities investor education and training.

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61-1-19    Investigations authorized.

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61-1-20    Enforcement.

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61-1-21    Penalties for violations.

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61-1-21.1    Limitation of prosecutions.

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61-1-21.5    Legal counsel -- Prosecutions.

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61-1-22    Sales and purchases in violation -- Remedies -- Limitation of actions.

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61-1-23    Review of orders.

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61-1-24    Rules, forms, and orders.

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61-1-25    Record of registrations.

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61-1-26    Scope of the act -- Service of process.

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61-1-27    Construction of chapter.

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61-1-28    Citation of chapter.

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61-1-29    Savings clause.

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means this portion of the Utah Code has been modified since the last update on 6 May 2009.

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Last revised: 28 May 2009

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