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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


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.





Requests for Division Action  
No-action Opinions
Interpretive Opinions
Fairness Hearings
Petition to Remove Records of Administrative Disciplinary Action
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.
Money Management Act  
Certified Dealer Application (new and renewal)
Certified Investment Adviser Application (new and renewal)