Utah Uniform Request for Broker-Dealer Withdrawal

State:
Utah
Control #:
UT-SKU-0025
Format:
PDF
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Description

Uniform Request for Broker-Dealer Withdrawal The Utah Uniform Request for Broker-Dealer Withdrawal (URBAN) is a form used to withdraw a broker-dealer from the Utah Division of Securities. URBAN must be completed and delivered to the division in order to be effective. It is a two-page form that requires the broker-dealer to provide detailed information about its business and financial activities. The form also requires the broker-dealer to provide proof of compliance with state and federal securities laws and regulations. There are two types of URBAN: a full withdrawal form and a partial withdrawal form. A full withdrawal form is used when the broker-dealer is ceasing all activities in the state and completely withdrawing from the division. A partial withdrawal form is used when the broker-dealer is withdrawing from certain activities, but not completely withdrawing from the division.

The Utah Uniform Request for Broker-Dealer Withdrawal (URBAN) is a form used to withdraw a broker-dealer from the Utah Division of Securities. URBAN must be completed and delivered to the division in order to be effective. It is a two-page form that requires the broker-dealer to provide detailed information about its business and financial activities. The form also requires the broker-dealer to provide proof of compliance with state and federal securities laws and regulations. There are two types of URBAN: a full withdrawal form and a partial withdrawal form. A full withdrawal form is used when the broker-dealer is ceasing all activities in the state and completely withdrawing from the division. A partial withdrawal form is used when the broker-dealer is withdrawing from certain activities, but not completely withdrawing from the division.

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Utah Uniform Request for Broker-Dealer Withdrawal