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Senate approves amendments to clarify investment-adviser duties and fee rules
Utah State Senate · February 1, 1993
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Summary
Senate Bill 76, updating the Utah Uniform Securities Act to restrict unlicensed broker-dealer investment advice and fee-splitting, was advanced to third reading after sponsor remarks and a voice vote.
Senate Bill 76, sponsored on the floor by Senator O'Keefe, would tighten licensing requirements for investment advisers and restrict fee-splitting between…
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