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.

• Private Cause of Action Remedies
• Note Brokering
• M&A Brokers (business brokering)
• Choice of Law Provisions in Arbitrations
• Short Selling

• Retainer Fees for Investment Advisers
• Advisory Fees Based on Net Worth
• Varying/Negotiating Hourly Advisory Fees
• Educational Companies, Prop Trading, Auto-Trading or Mirrored Trading

• Paul Anka Letter