The Division of Securities shall establish, charge, and collect fees pursuant to Section 63J-1-504, except when it can be demonstrated that the fee amount should be based on factors other than cost, for the following:

(1)  the fair and reasonable cost of any examination, audit, or investigation authorized or required by this chapter or other state law;

Terms Used In Utah Code 61-1-18.4

  • Agent: means an individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales of securities. See Utah Code 61-1-13
  • Division: means the Division of Securities established by Section 61-1-18. See Utah Code 61-1-13
  • Person: means :
(i) an individual;
(ii) a corporation;
(iii) a partnership;
(iv) a limited liability company;
(v) an association;
(vi) a joint-stock company;
(vii) a joint venture;
(viii) a trust where the interests of the beneficiaries are evidenced by a security;
(ix) an unincorporated organization;
(x) a government; or
(xi) a political subdivision of a government. See Utah Code 61-1-13
  • Process: means a writ or summons issued in the course of a judicial proceeding. See Utah Code 68-3-12.5
  • State: means a state, territory, or possession of the United States, the District of Columbia, and Puerto Rico. See Utah Code 61-1-13
    • (2)  certificate of serving and mailing process served upon the division in any action or proceeding commenced or prosecuted in this state against any person who has appointed the division its agent as provided in Subsection 61-1-26(7); and

    (3)  copies and authentication of all papers, publications, data, and other records available to the public or issued under the division’s authority.

    Amended by Chapter 183, 2009 General Session

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