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.