Department of Commerce. Division of Securities

These records document secondary trading exemptions, financial information, and certified public accountant reports on the use of proceeds from sales of security transactions exempted from registration requirements as outlined in UCA 61-1-14 (1993). Exemptions granted include securities guaranteed by the United States or Canadian governments, banks, savings institutions, or trust companies organized under the laws of the United States or Utah. In addition, securities issued or guaranteed by any railroad, public utility, or holding company subject to the jurisdiction of the interstate commerce commission are also included.

These records document secondary trading exemptions, financial information, and certified public accountant reports on the use of proceeds from sales of security transactions exempted from registration requirements as outlined in UCA 61-1-14 (1993). Exemptions granted include securities guaranteed by the United States or Canadian governments, banks, savings institutions, or trust companies organized under the laws of the United States or Utah. In addition, securities issued or guaranteed by any railroad, public utility, or holding company subject to the jurisdiction of the interstate commerce commission are also included.