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Alerts & Announcements For more information
  call the Division at (801) 530-6600
Resources
 
  • Public Service Announcements
  • Division Press Releases
  • S.E.C. Investor Alerts
    The U.S. Securities and Exchange Commission (S.E.C.) is the federal regulatory agency for the securities industry.  The S.E.C. issues investor alerts on various issues.
  • NASAA Investor Alerts
    The North American Securities Administrators Association (NASAA) is a voluntary association whose membership consists of 67 state, provincial, and territorial securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada, and Mexico.  NASAA issues investor alerts on various issues.
  • FINRA Alerts
    The Financial Industry Regulatory Authority (FINRA) was created in July 2007 through the consolidation of the National Association of Securities Dealers (NASD) and the member regulation, enforcement and arbitration functions of the New York Stock Exchange (NYSE).  FINRA is the securities industry's self-regulatory organization.

The Utah Division of Securities keeps the public informed of news and concerns in the securities industry through alerts and announcements.  The Division also provides links to investor alerts from around the country.

New Alerts

NASAA Alert: Golden Opportunities

Have you heard about investing in Gold? Before you invest, check out this investor alert from NASAA.

Golden Opportunities Alert PDF