Open Letters & White Papers
From time to time, the Utah Division of Securities writes a letter that it opens to the Industry for informational purposes. Also, the Division occasionally drafts white papers on various topics. Below are some Open Letters to Industry and White Papers. Note: most of the information contained in these letters and papers are specific in nature and may require discussion with the Division to determine whether they apply to your business.
Open Letters to Industry
- Division of Securities Guidance on Establishing Reasonable Fees by Registered Investment Advisors
- Private Cause of Action Remedies
- Note Brokering
- M&A Brokers (business brokering)
- Choice of Law Provisions in Arbitrations
- Short Selling
- Statement Regarding Sept. 7, 2025 NASAA Statement of Policy Regarding REITs and Concentration Limits
