The Utah Division of Securities (a Division of the Utah Department of Commerce) is the state agency responsible for regulating the securities (investment) industry in the state and enforcing Utah’s securities laws. The Division seeks to create a level playing field in the investment industry and ensure minimum standards of competence, training, and fair-dealing by issuing licenses to broker-dealers and investment advisers and all of their agents and representatives that do business in the state. In addition to regulating the securities industry, the Division’s mission includes a mandate to help educate and protect Utah’s investors.
As part of an effort to educate investors and consumers, the Utah Division of Securities provides the public with the information and resources they need to make informed decisions about their investments. This includes information on the securities industry, various investment products, public service announcements, investor education, and common scams that investors face. The Division also provides tools and resources so that investors can research investment opportunities and the companies or individuals selling those investments.