The Utah Administrative Code is the body of all effective administrative rules as compiled and organized by the Division of Administrative Rules (see Subsection 63G-3-102(5); see also Sections 63G-3-701 and 702).

NOTE: For a list of rules that have been made effective since May 1, 2013, please see the codification segue page.

Table of Contents for Title R164

Title R164. Commerce, Securities.

As in effect on May 1, 2013

Download all rules in the title in a ZIP file.

1. R164-1. Fraudulent Practices. (Download the RTF file)
2. R164-2. Investment Adviser - Unlawful Acts. (Download the RTF file)
3. R164-4. Licensing Requirements. (Download the RTF file)
4. R164-5. Broker-Dealer and Investment Adviser Books and Records. (Download the RTF file)
5. R164-6. Denial, Suspension or Revocation of a License. (Download the RTF file)
6. R164-9. Registration by Coordination. (Download the RTF file)
7. R164-10. Registration by Qualification. (Download the RTF file)
8. R164-11. Registration Statement. (Download the RTF file)
9. R164-12. Sales Commission. (Download the RTF file)
10. R164-14. Exemptions. (Download the RTF file)
11. R164-15. Federal Covered Securities. (Download the RTF file)
12. R164-18. Procedures. (Download the RTF file)
13. R164-25. Record of Registration. (Download the RTF file)
14. R164-26. Consent to Service of Process. (Download the RTF file)
15. R164-31. Administrative Fines. (Download the RTF file)
16. R164-101. Securities Fraud Reporting Program Act. (Download the RTF file)

Additional Information

Contact

For questions regarding the content or application of rules under Title R164, please contact the promulgating agency. A list of agencies with links to their homepages is available at http://www.utah.gov/government/agencylist.html or from http://www.rules.utah.gov/contact/agencycontacts.htm.