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securities transactions

A security is a financial asset that can be bought and sold—including stocks, bonds, debentures, municipal securities, futures, and options—and a securities transaction involves the purchase, sale, redemption, or other transfer of a security.

In Utah, securities are regulated under the Utah Uniform Securities Act. This Act governs the registration, sale, and offering of securities within the state, and it requires that securities offered or sold in Utah be registered unless they qualify for an exemption. The Act also mandates the registration of brokers, dealers, investment advisers, and their representatives who conduct securities business in the state. Additionally, the Act provides for anti-fraud provisions, which prohibit fraudulent and other deceptive practices in connection with the offer, sale, or purchase of securities. The Utah Division of Securities is the state agency responsible for enforcing the securities laws and protecting investors from securities fraud. At the federal level, securities transactions are also regulated by the Securities and Exchange Commission (SEC) under the Securities Act of 1933 and the Securities Exchange Act of 1934, which require the registration of securities, disclosure of financial information, and oversight of the securities industry to prevent fraud and to ensure fair dealing.

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Business

securities transactions

Wall Street Quality Legal Services Customized for Main Street Businesses

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Utah State Code

Utah State Code

Business

securities transactions

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