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Utah Uniform Investment Company Notice Filing

Category:
Utah Department of Commerce - Blue Sky - Securities
State:
Utah
Control #:
UT-SKU-0021
Format:
Word
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Description

Uniform Investment Company Notice Filing Utah Uniform Investment Company Notice Filing is an application required by the Utah Division of Securities for an investment company to obtain a license to transact business in the state. It is also known as a Notice of Intent (NOI) and is required for any investment company that wishes to offer investment services or products in Utah. The NOI must include information about the company, its management, its products and services, and any fees charged. There are two types of Utah Uniform Investment Company Notice Filing: Type 1, which must be filed when the company is new to the state and when there has been a material change to the company; and Type 2, which must be filed annually or when there has been a change in the company’s information. Both types must be filed in accordance with the rules and regulations set forth by the Utah Division of Securities and must include all required information in order to be approved.

Utah Uniform Investment Company Notice Filing is an application required by the Utah Division of Securities for an investment company to obtain a license to transact business in the state. It is also known as a Notice of Intent (NOI) and is required for any investment company that wishes to offer investment services or products in Utah. The NOI must include information about the company, its management, its products and services, and any fees charged. There are two types of Utah Uniform Investment Company Notice Filing: Type 1, which must be filed when the company is new to the state and when there has been a material change to the company; and Type 2, which must be filed annually or when there has been a change in the company’s information. Both types must be filed in accordance with the rules and regulations set forth by the Utah Division of Securities and must include all required information in order to be approved.

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