The Utah Application For Hearing For Certain Exchanges of Securities is a form that is used by businesses in the state of Utah to request a hearing in order to obtain approval to exchange securities. The application is used to provide the Utah Division of Securities with detailed information regarding the proposed exchange, and the Division of Securities will use the information to decide whether to grant the application. There are two types of Utah Application For Hearing For Certain Exchanges of Securities: the Standard Application and the Short Form Application. The Standard Application is used in cases when the exchange involves more than $5 million in securities, while the Short Form Application is used when the exchange involves less than $5 million in securities. The information required for both applications includes the names and contact information of the parties involved in the exchange, the nature of the transaction, and the value of the securities being exchanged.
Utah Application For Hearing For Certain Exchanges of Securities
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FAQ
It is unlawful for a person to transact business in this state as a broker-dealer or agent unless the person is licensed under this chapter.
Let's do it! Fairness Hearing means a hearing on the settlement proposed in this Settlement Agreement held by the Court to determine whether the proposed settlement is fair, reasonable, and adequate, and whether it should be finally approved by the Court.
