Utah Administrative Code, R164. Commerce, Securities.

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• R164-1. Fraudulent Practices
• R164-1-3. Fraudulent Practices of Broker-Dealers, Broker-Dealer Agents, and Issuer-Agents

• R164-2. Investment Adviser - Unlawful Acts
• R164-2-1. Investment Adviser Performance-Based Compensation Contracts

• R164-4. Licensing Requirements
• R164-4-1. Broker-Dealer, Broker-Dealer Agent, and Issuer-Agent Licensing Requirements
• R164-4-2. Investment Adviser and Investment Adviser Representative Licensing Requirements
• R164-4-3. General Licensing Requirements
• R164-4-4. Minimum Financial Requirements and Financial Reporting Requirements of Licensed Broker-Dealers and Investment Advisers
• R164-4-5. Bonding Requirements for Broker-Dealers, Broker-Dealer Agents, Issuer-Agents, and Investment Advisers
• R164-4-6. Notice Filing Requirements for Federal Covered Advisers
• R164-4-7. Broker-dealers, Investment Advisers and Other Securities Personnel Using the Internet for General Dissemination of Information on Products and Services
• R164-4-8. Exclusion for Certain Canadian Brokers and Securities Exemption

• R164-5. Broker-Dealer and Investment Adviser Books and Records
• R164-5-1. Books and Records Required
• R164-5-3. Financial Reporting of Broker-Dealers and Investment Advisers

• R164-6. Denial, Suspension or Revocation of a License
• R164-6-1g. Dishonest or Unethical Business Practices

• R164-9. Registration by Coordination
• R164-9-1. Registration by Coordination
• R164-9-2. MJDS - Financial Statement Requirement
• R164-9-3b. MJDS - Review Period

• R164-10. Registration by Qualification
• R164-10-2. Registration Statements

• R164-11. Registration Statement
• R164-11-1. General Registration Provisions
• R164-11-2. Hearings for Certain Exchanges of Securities
• R164-11-7b. Fund Impound

• R164-12. Sales Commission
• R164-12-1f. Commissions on Sales of Securities

• R164-13. Definitions
• R164-13-1. Definitions

• R164-14. Exemptions From Registration
• R164-14-1g. Exchange Listing Exemption
• R164-14-2b. Manual Listing Exemption
• R164-14-2m. Secondary Trading Transactional Exemption
• R164-14-2n. Uniform Limited Offering Exemption
• R164-14-2p. Reorganization Exemption
• R164-14-2s. MJDS - Secondary Trading Exemption
• R164-14-21s. Solicitations of Interest Exemption
• R164-14-23s. Foreign Securities - Secondary Trading Exemption
• R164-14-24s. Internet Solicitations Exemption
• R164-14-25s. Accredited Investor Exemption
• R164-14-26s. Reorganization Exemption for Transactions Involving Certain Federal Covered Securities.
• R164-14-27s. Compensatory Benefit Plan Exemption.

• R164-15. Federal Covered Securities
• R164-15-1. Notice Filings for Offerings of Investment Company Securities
• R164-15-2. Notice Filings for Rule 506 Offerings

• R164-18. Procedures
• R164-18-6. Procedures for Administrative Actions

• R164-25. Record of Registration
• R164-25-5. Requests for Interpretive Opinions and No-action Letters

• R164-26. Consent to Service of Process
• R164-26-6. Consent to Service

• R164-31. Administrative Fines
• R164-26-6. Guidelines for the Assessment of Administrative Fines