The Utah Uniform Application for Securities Industry Registration or Transfer (UA) is a form used by securities industry professionals to register with the Utah Division of Securities or to transfer their registration from one jurisdiction to another. It is used for both initial registration and transfer applications. The UA form is available in two types: the Individual UA, which is used to register individuals as agents, investment advisers, and their representatives; and the Corporate UA, which is used to register corporations or other entities as agents, investment advisers, and their representatives. The UA contains sections for biographical information, background information, and information about the person or entity seeking registration. It also includes a section for disclosure of any information that could be material to the registration decision. The UA must be completed and submitted to the Utah Division of Securities for review.
Utah Uniform Application for Securities Industry Registration or Transfer
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How to fill out Utah Uniform Application For Securities Industry Registration Or Transfer?
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