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Securities Library For more information
Fee Schedule call the Division at (801) 530-6600

(Make checks payable to the Utah Division of Securities.)

Securities Registration
Qualification Registration
Coordinated Registration

$300.00
$300.00

Securities Exemptions
Securities Exemptions $60.00
Transactional Exemptions
All Transactional Exemptions $60.00
Notice Filings
Pursuant to Utah Code Ann. §61-1-25(1), a document is deemed "filed" only when it is received by the Division

Investment Companies

Federal Covered Advisers

Form D, Rule 506 – Timely Filing
Received by the Division within 15 days of the date of first sale to a Utah investor.

Form D, Rule 506 – Late Filing
Received by the Division more than 15 days after the date of first sale to a Utah investor.

$600.00

$100.00

$100.00
 

$500.00
 

Requests for Division Action  
No-action Opinions
Interpretive Opinions
Fairness Hearings
Petition to Remove Records of Administrative Disciplinary Action
$120.00
$120.00
$1,500.00
$200.00
Licensing
Agent (new and renewal)
Broker/Dealer (new and renewal)
Investment Adviser (new and renewal)
Investment Adviser Representative (new and renewal)
List of Licensees (previously compiled data)
Request for ad hoc reports can cost significantly more.
$60.00
$200.00
$100.00
$50.00
$25.00
Money Management Act  
Certified Dealer Application (new and renewal)
Certified Investment Adviser Application (new and renewal)
$500.00
$500.00