Utah Code » Title 61, Chapter 1 — Utah Uniform Securities Act
Utah Code

Utah Code § 61-1-7 (2026)

Registration before sale

✓ current as of May 2026
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It is unlawful for any person to offer or sell any security in this state unless it is registered under this chapter, the security or transaction is exempted under Section

61-1-14

, or the security is a federal covered security for which a notice filing has been made pursuant to the provisions of Section

61-1-15.5

.

Notes of Decisions
Cited in 33 cases (23 in the last 5 years), 1984–2021 · leading case: State v. Wallace, 2005 UT App 434 (Utah Ct. App. 2005).
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State v. Wallace, 2005 UT App 434 (Utah Ct. App. 2005). · cites it 5× “¶ 4 The State charged Defendant with selling unregistered securities, see Utah Code Ann. §§ 61-1-7 (2000), -21 (Supp.”
State v. Shepherd, 989 P.2d 503 (Utah Ct. App. 1999). · cites it 8× “§ 61-1-3 (1) (1997), 1 one count of selling an unregistered security in violation of Utah Code Ann. § 61-1-7 (1997), 2 and five counts of securities fraud in violation of Utah Code Ann.”
Dixon v. Pro Image Inc., 1999 UT 89 (Utah 1999). · cites it 4× “Rentrak asserts that under controlling federal and state laws, the transferability of stock in a public company such as Rentrak is inherently restricted unless it is registered with the Securities Exchange Commission or statutorily exempt from registration.”
Capital Gen. Corp. v. Utah Dep't of Bus. Reg., Sec. Div., 777 P.2d 494 (Utah Ct. App. 1989). · cites it 14× “stock in violation of Utah Code Ann. § 61-1-7 (1986). An evidentiary hearing was held before an administrative law judge, who denied the petition and ruled that the Act’s registration requirements did not apply to CGC’s distribution of the Amenity, Inc.”
Dahl v. Gardner, 583 F. Supp. 1262 (D. Utah 1984). · cites it 4× “10b-5, the Utah Uniform Securities Act, Utah Code Ann. § 61-1-7 , -22 (Supp.1983), the California Securities Law, Cal.”
State v. Bolson, 167 P.3d 539 (Utah Ct. App. 2007). · cites it 4× “§ 61-1-1 (2006), one count of selling an unregistered security, a third degree felony, see Utah Code Ann. § 61-1-7 (2006), and one count of pattern of unlawful activity, a second degree felony, see Utah Code Ann.”
State v. Johnson, 823 P.2d 484 (Utah Ct. App. 1991). · cites it 2× “§§ 61-1-1 (2) and 61-1-21 (1989), six felony counts of sale of unregistered securities in violation of Utah Code Ann. §§ 61-1-7 and 61-1-21 (1989), and one felony count of employing an unregistered securities agent in violation of Utah Code Ann.”
Capital Gen. Corp. v. Dep't of Bus. Reg., 837 P.2d 568 (Utah Ct. App. 1992). · cites it 9× “Here, the Board determined that CGC’s transfers of the shares were sales within the meaning of Utah Code Ann. § 61-1-7 (1986): It is unlawful for any person to offer or sell any security in this state unless it is registered under this chapter or the security or transaction is…”
State v. Kelson, 2012 UT App 217 (Utah Ct. App. 2012). · cites it 2× “Kelson appeals her convictions for one count of offer or sale of unregistered securities, a third degree felony, see Utah Code Ann. §§ 61-1-7 , -21(1) (2011); one count of sale by an unlicensed broker-dealer, agent, or investment advisor, a third degree felony, see id.”
State v. Tebbs, 786 P.2d 775 (Utah Ct. App. 1990). · cites it 2× “§ 76-10-1801 (1989), and some eight counts of selling unregistered securities, third degree felonies in violation of Utah Code Ann. § 61-1-7 (1989). By November 1987, the information had been amended to contain only eleven counts of communications fraud.”
Klein v. Shepard (D. Utah 2021). · cites it 4× “108 Trudy Shepherd argues that it is not a security because she was merely 104 Utah Code Ann. § 61-1-7 (“It is unlawful for any person to offer or sell any security in this state unless it is registered under this chapter, the security or transaction is exempted under Section…”
Klein v. Turner (D. Utah 2021). · cites it 4× “107 In Howey, the Supreme Court defined an investment contract as an agreement that involves (1) an investment of money; (2) in a common enterprise; (3) with profits derived solely from the 101 Utah Code Ann. § 61-1-7 (“It is unlawful for any person to offer or sell any security…”
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