The Division's Mission:
To enhance Utah's business climate by protecting Utah's investors
through education, enforcement, and fair regulation of Utah's investment industry while creating opportunities for capital formation.
To fulfill its mission, the Utah Division of Securities administers and enforces the Utah Uniform Securities Act by: registering
securities; reviewing exemptions; issuing no-action letters and interpretive opinions; licensing broker-dealers and their agents, investment advisers and their
representatives, issuer agents, and certified dealers; and by providing investor and industry education opportunities.
The Division is staffed with numerous examiners, investigators, and other professionals to investigate alleged violations of Utah's
securities laws and complaints involving those licensed with the Division. Upon discovering a violation of the law, the Division may bring an administrative
or civil action or refer the matter for criminal prosecution.