UT

Utah Blue Sky Laws

Utah regulates securities under the Utah Uniform Securities Act, enforced by the Division of Securities within the Department of Commerce. Utah adopted the Uniform Securities Act and requires registration or exemption for all securities offered or sold in the state.

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Donald Hateley, Of Counsel for securities law at Acquisition Stars

Donald Hateley

Of Counsel, Securities Law | Acquisition Stars

Donald Hateley serves as Of Counsel to Acquisition Stars for securities law matters. His background includes advising public and private companies on securities transactions, corporate finance, and corporate governance, including public and private equity and debt financings. Admitted to the California bar in 1993, he is a graduate of the University of Southern California Marshall School of Business and Southwestern Law School.

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Utah Securities Regulatory Overview

Regulatory Body
Utah Department of Commerce, Division of Securities
Primary Statute
Utah Uniform Securities Act (Utah Code 61-1-1 et seq.)

Registration Requirements

Utah allows registration by coordination, qualification, or notice filing. Reg D Rule 506 offerings require Form D notice filing with the Division of Securities. Filing fee is $100.

Key Provisions of Utah Securities Law

Understanding the core regulatory framework in Utah:

1

Securities must be registered before offer or sale unless exempt

2

Utah adopted the Uniform Securities Act with state modifications

3

Anti-fraud provisions apply to all securities transactions

4

The Division of Securities has investigative and enforcement authority

Available Exemptions in Utah

Utah provides the following exemptions from full securities registration:

  • Federal covered securities with notice filing
  • Isolated nonissuer transactions
  • Sales to institutional investors
  • Limited offering exemptions
  • Government securities

Penalties for Non-Compliance in Utah

Utah imposes civil penalties up to $10,000 per violation, criminal penalties including fines and imprisonment, investor rescission rights, and administrative sanctions.

How Utah Blue Sky Laws Affect Your Transaction

Utah's growing technology sector (Silicon Slopes) generates increasing M&A activity. Transactions involving Utah-based shareholders require compliance when stock is part of the deal. Acquisition Stars works with securities counsel on Utah filings for multi-state transactions.

Need Help With a Utah Securities Transaction?

Acquisition Stars handles M&A transactions nationwide and works with securities counsel on blue sky compliance and securities offerings. Senior attorney Alex Lubyansky provides direct counsel on every M&A engagement. We tell you who would handle your matter before any introduction, and you decide whether to proceed.

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Need Help With a Utah Securities Transaction?

Submit your transaction details for a preliminary assessment. We help with the M&A side of the transaction and work with securities counsel on multi-state filings for Reg D, Reg A+, and Reg CF offerings involving Utah.

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Frequently Asked Questions

Common questions about Utah blue sky laws and securities compliance

What is Utah's Reg D filing fee?
Utah charges $100 for Reg D Rule 506 notice filings with the Division of Securities.
Who regulates securities in Utah?
The Division of Securities within the Utah Department of Commerce enforces Utah's securities laws.
Does Utah follow the Uniform Securities Act?
Yes. Utah adopted the Uniform Securities Act with state-specific modifications.

Blue Sky Laws in Nearby States

Colorado Blue Sky Laws CO
Nevada Blue Sky Laws NV
Arizona Blue Sky Laws AZ
Idaho Blue Sky Laws ID
Wyoming Blue Sky Laws WY
View all 50 state blue sky law guides →

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Need Help With Securities Compliance in Utah?

Our managing partner provides selective M&A counsel and works with securities counsel on transactions involving Utah blue sky law compliance. Submit your transaction details for a preliminary assessment.

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