| The Utah Division of Securities administers and enforces the Utah Uniform Securities Act. The Division administers the Act by registering securities; reviewing exemptions; issuing no-action letters & interpretative opinions; licensing broker-dealers & their agents, investment advisers & their representatives, issuer agents, and certified dealers; and by providing investor education opportunities. The Division is staffed with numerous investigators, auditors, and other professionals which investigate alleged violations of Utah's securities laws. The Division also investigates complaints involving persons licensed by the Division. Upon discovering a violation, the Division may bring a civil or administrative action, or refer the investigation for criminal prosecution.
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