Utah Admin. Code 164-2-10
Current through Bulletin No. 2024-21, November 1, 2024
It is unlawful and a fraudulent, deceptive, or manipulative act, practice or course of business for an investment adviser licensed or required to be licensed under Section 61-1-3 to have custody of client funds or securities unless the investment adviser complies with the requirements of Rule 206(4)-2 of the Investment Advisers Act of 1940 (2020).
Utah Admin. Code R164-2-10