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Licensing & Compliance For more information
  call the Division at (801) 530-6600
FORMS AND APPLICATIONS
  • Form BD PDF
    Uniform Application for Broker-Dealer Registration
  • Form BDW PDF
    Uniform Request for Broker-Dealer Withdrawal
  • Form U-2 PDF MS Word WordPerfect
    Uniform Consent to Service of Process
  • Form U-2a PDF MS Word WordPerfect
    Uniform Corporate Resolution
  • Form U-5 PDF
    Uniform Termination Notice for Securities Industry Registration
  • Form U-10
    (Online Application/Instructions)
    Uniform Examination Request for non-FINRA Candidates
  • Form 4-5 BA PDF MS Word WordPerfect
    Indemnity Bond of Agent
  • Form 4-5 BBD PDF MS Word WordPerfect
    Corporate Indemnity Bond of Broker-Dealer
  • Form 4-5 EIA PDF
    Escrow Agreement
LICENSING FEES
Agent (new/renewal) $60.00
Broker-Dealer (new/renewal) $200.00
Investment Adviser (new/renewal) $100.00
Investment Adviser Representative (new/renewal) $50.00

All fees are processed through the CRD/IARD system.  Do NOT send payment to the Division.  These fees do NOT include any fees charged by FINRA for maintenance of the CRD/IARD system.

The Division’s Licensing & Compliance section regulates the licensed companies and individuals conducting securities business in Utah.  This includes:

  • Reviewing and processing the applications for broker-dealers, broker-dealer agents, investment advisers, investment adviser representatives, issuer agents, certified dealers, Canadian broker-dealers, and certified investment advisers;
  • Investigating complaints filed with the Division that involve a licensed company or individual;
  • Handling public inquiries about licensed companies or individuals; and
  • Taking administrative actions against licensees for violations of Utah’s securities laws or referring the matter for civil action or criminal prosecution.