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Industry Workshops call the Division at (801) 530-6600

The Utah Division of Securities seeks to educate industry on various topics through Industry Workshops.  The Division restarted its Industry Workshops in 2009 and will be attempting to hold one per quarter.  Industry Workshops are available to view or listen online.

November 1, 2010

The Division held its most recent investment adviser workshop on Monday November 1, 2010. The workshop featured updates about the new Form ADV Part 2, the Division's new rules, the SEC's 2010 custody rule, and the IA Switch. Division staff also provided guidance on how it will handle reviews of the new Form ADV Part 2 going forward.

The rebroadcast of this workshop is NOW AVAILABLE. Click HERE to view the Rebroadcast.

 

October 2009
June 2009