Utah Uniform Securities Act and Rules Annotated

Combines the key provisions from state and federal law in a compact format
Publisher: Michie

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Utah Uniform Securities Act and Rules Annotated combines the key provisions from state and federal law related to the regulation of securities in a compact format. Features include:

•  Case annotations and research references from the Utah Code Annotated and the Utah Administrative Code
•  Extensive and integrated index
•  Helpful case annotations prepared by LexisNexis' lawyer-editors

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Table of Contents

Title 61. Securities Division — Real Estate Division
Chapter 1. Utah Uniform Securities Act, 61-1-1 to 61-1-108, 61-1-201 to 61-1-206

Utah Administrative Code
Commerce
R164. Securities
R164-1. Fraudulent Practices, R164-1-3
R164-2. Investment Adviser — Unlawful Acts, R164-2-1, R164-2-2
R164-4. Licensing Requirements, R164-4-1 to R164-4-9
R164-5. Broker-Dealer and Investment Adviser Books and Records, R164-5-1, R164-5-3
R164-6. Denial, Suspension or Revocation of a License, R164-6-1g
R164-9. Registration by Coordination, R164-9-1 to R164-9-3b
R164-10. Registration by Qualification, R164-10-2
R164-11. Registration Statement, R164-11-1 to R164-11-7b
R164-12. Sales Commission, R164-12-1f
R164-13. [Repealed]
R164-14. Exemptions, R164-14-1e to R164-14-27v
R164-15. Federal Covered Securities, R164-15-1 to R164-15-4
R164-18. Procedures, R164-18-6
R164-25. Record of Registration, R164-25-5
R164-26. Consent to Service of Process, R164-26-6
R164-32. Codification of Precedent, R164-32-1
R164-101. Securities Fraud Reporting Program Act, R164-101-1

Securities Act of 1933

United States Code Service

Title 15. Commerce and Trade
Chapter 2A. Securities and Trust Indentures, §§ 1 to 28, Schedules A and B

Code of Federal Regulations

Title 17. Commodity and Securities Exchanges
Part 230—General Rules and Regulations, Securities Act of 1933, §§ 230.134, 230.135a, 230.144, 230.144A, 230.145, 230.147, 230.215, 230.251 to 230.263 (Regulation A), 230.415, 230.419 (Regulation C), 230.501 to 230.508 (Regulation D), 230.701, 230.800 to 230.802 (Regulation E)

United States Securities and Exchange Commission

Form 1-A

Securities Exchange Act of 1934

United States Code Service

Title 15. Commerce and Trade
Chapter 2B. Securities Exchanges, §§ 3, 5, 9, 12, 21F, 15 USCS § 78u-7

Code of Federal Regulations

Title 17. Commodity and Securities Exchanges
Part 240 — General Rules and Regulations, Securities Exchange Act of 1934, §§ 240.3a1-1, 240.3a4-1, 240.3a51-1, 240.10b-1, 240.10b-3, 240.10b-5, 240.15c2-11, 240.15c3-2, 240.15c3-3, 240.17a-3, 240.17a-4, 240.21F-1 to 240.21F-17

Investment Company Act of 1940

United States Code Service

Title 15. Commerce and Trade
Chapter 2D. Investment Companies and Advisers, §§ 2, 3, 15 USCS § 80a-3a, 6, 8, 20, 53 to 64

Code of Federal Regulations

Title 17. Commodity and Securities Exchanges
Part 270 — Rules and Regulations, Investment Company Act of 1940, §§ 270.2a-4, 270.2a51-1 to 270.2a51-3, 270.3a-4

Investment Advisers Act of 1940

United States Code Service

Title 15. Commerce and Trade
Chapter 2D. Investment Companies and Advisers, §§ 202 to 208, 215, 220, 222

Code of Federal Regulations

Title 17. Commodity and Securities Exchanges
Part 275 — Rules and Regulations, Investment Advisers Act of 1940, §§ 275.202(a)(1)-1, 275.202(a)(11)-1, 275.202(a)(11)(G)-1, 275.202(a)(30)-1, 275.203(b)(3)-1, 275.203(b)(3)-2, 275.203(l)-1, 275.203(m)-1, 275.203A-1 to 275.203A-5, 275.204-1 to 275.204-4, 275.204A-1, 275.205-1 to 275.205-3, 275.206(3)-1 to 275.206(3)-3T, 275.206(4)-1 to 275.206(4)-8, 275.222-1, 275.222-2

Utah Administrative Code

Commerce
R151. Administration
R151-4. Department of Commerce Administrative Procedures Act Rule, R151-4-101 to R151-4-907

Index