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Licensing & Compliance For more information
Do I Need a License? call the Division at (801) 530-6600
REVIEW THE FOLLOWING DEFINITIONS
 

Determining whether you or your business requires licensing can be difficult.  The Licensing Section is available to help you understand the various securities laws that may apply to your business, but you may also need to consult with a securities attorney before proceeding.

Some basic questions to determine whether you or your company needs to License with the Division:

  • Are you or your company effecting, or brokering, securities transactions for compensation?
  • Are you or your company giving investment advice for compensation?
  • Are you or your company managing people’s money for compensation?
  • Are you or your company referring prospective clients to a broker-dealer, investment adviser, or investment fund for compensation?
  • Are you or your company soliciting for an investment adviser, hedge fund or other pooled investment vehicle?
  • Are you or your company brokering the purchase or sale of notes, debt, CDs, or private placements?
  • Does your business involve securities?
  • Does your business raise capital through a securities offering?

PLEASE CONTACT THE DIVISION’S LICENSING SECTION TO DISCUSS WHETHER YOUR BUSINESS WOULD REQUIRE ANY SECURITIES LICENSES.  CALL (801) 530-6600.