Utah Admin. Code 628-15-7

Current through Bulletin 2024-23, December 1, 2024

Section R628-15-7 - Use of an Adviser's Approved List of Broker-Dealers

If an investment adviser intends to use their own approved list of brokers-dealers, those broker-dealers on the adviser's approved list must qualify under SEC Rule 15C3-1 or other applicable regulatory requirements.

Utah Admin. Code R628-15-7

Adopted by Utah State Bulletin Number 2015-15, effective 7/13/2015

Amended by Utah State Bulletin Number 2017-18, effective 8/21/2017