Utah Admin. Code R628-15 - Certification as an Investment Adviser
- § R628-15-1 - Authority
- § R628-15-2 - Scope
- § R628-15-3 - Purpose
- § R628-15-4 - Definitions
- § R628-15-5 - General Rule
- § R628-15-6 - Criteria for Certification of an Investment Adviser
- § R628-15-7 - Use of an Adviser's Approved List of Broker-Dealers
- § R628-15-8 - Certification
- § R628-15-9 - Renewal of Application
- § R628-15-10 - Post Certification Requirements
- § R628-15-11 - Notification of Certification
- § R628-15-12 - Grounds for Denial, Suspension or Termination of Status as a Certified Investment Adviser
- § R628-15-13 - Procedures for Denial, Suspension, or Termination and Reinstatement of Status
Notes
51-7-3(3); 51-7-18(2)(b)(vi); 51-7-18(2)(b)(vii); 51-7-11.5(2)(b); 51-7-11.5(2) (c)
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