|Alerts & Announcements
||For more information
||call the Division at (801) 530-6600
- Public Service Announcements
- Division Press Releases
- S.E.C. Investor Alerts
Securities and Exchange Commission (S.E.C.) is the federal regulatory agency for the securities industry. The S.E.C. issues investor alerts on
- 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.
NASAA Alert: Golden Opportunities
Have you heard about investing in Gold? Before you invest, check out this investor alert from NASAA.
Golden Opportunities Alert