Securities Commission
General Information
- Government Type
- State Agency
- Entity
- Department of Commerce
- Public Body
- Securities Commission
Notice Information
- Notice Title
- Securities Commission
- Notice Subject(s)
- Securities
- Notice Type(s)
- Meeting
- Event Start Date & Time
- March 28, 2013 09:00 AM
- Event End Date & Time
- March 28, 2013 12:00 PM
- Description/Agenda
- Utah Securities Commission March 28, 2013 Room 451 - 9:00 AM Agenda Welcome/Call to Order Erik Christiansen 1. Approval of January 24, 2013 Minutes Erik Christiansen 2. Director's Report Keith Woodwell a. Update on Budget b. Update on Division Staffing c. Two Day Meeting in July (trial) d. Commissioners Terms that are Expiring 3. Investor Education Update Karen McMullin 4. Section Reports a. Licensing & Compliance Section Ken Barton b Corporate Finance Section Benjamin Johnson - Rule Modifications c. Enforcement Section Dave Hermansen 5. Education and Training Fund Report Benjamin Johnson a. Grant Request: MountainWest Capital Network Keith Woodwell 6. Consideration and Approval of Proposed Orders a. Dave Hermansen K Hospitality, Inc. b. Breakthrough Technologies Dave Hermansen Charles Ross Chatwin Mark Andrew Jackson c. Trump Alliance, LLC Dave Hermansen Stephen Ronald Trump d. Rayda Roundy Dave Hermansen e. James Lee Anderson Dave Hermansen f. Craig Eldon Taylor dba The Mall Hop & Dave Hermansen Smoothie Beach g. Sonocine, Inc. Benjamin Johnson h. Morgan Asset Management, Inc. Ken Barton Morgan Keegan & Company, Inc. i. Taylor Capital Group, LLC Ken Barton Mark Stephen Taylor j. Mark L. Caldwell Ken Barton
- Notice of Special Accommodations (ADA)
- In compliance with the Americans with Disabilities Act, individuals needing special accommodations (including auxiliary communicative aids and services) during this meeting should notify Maria Skedros, ADA Coordinator, Division of Securities, P O Box 146760, 160 E 300 S, Salt Lake City, Utah 84114-6711, Phone (801) 530-6436, at least three working days prior to the meeting.
- Notice of Electronic or Telephone Participation
- N/A
Meeting Information
- Meeting Location
-
160 East 300 South, 4th Floor
Salt Lake City, UT 84111
Show in Apple Maps Show in Google Maps - Contact Name
- Ashlee Buchholz
- Contact Email
- abuchholz@utah.gov
- Contact Phone
- (801)530-6436
Notice Posting Details
- Notice Posted On
- March 26, 2013 11:28 AM
- Notice Last Edited On
- November 03, 2022 10:50 AM
Download Attachments
| File Name | Category | Date Added |
|---|---|---|
| Securities Commission Meeting - March 28, 2013.mp3 | Audio Recording | — |
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