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Securities Library For more information
Proposed & Recently Enacted Rules call the Division at (801) 530-6600

Proposed Rules

  • Currently, the Division has no proposed rules under consideration.

Recently Enacted Rules

  • R164-2-2 – Custody Requirements for Investment Advisers.
  • R164-4 – Licensing Requirements.
  • R164-5 – Broker-Dealer and Investment Adviser Books and Records.
  • R164-4-9 – Exemptions From Licensing Requirements for Investment Advisers Providing Advice to Certain Institutional Investors.