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Utah Division of Securities Commission Meeting

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General Information

Government Type
State Agency
Entity
Department of Commerce
Public Body
Securities Commission

Notice Information

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Notice Title
Utah Division of Securities Commission Meeting
Notice Subject(s)
Public Meetings
Notice Type(s)
Meeting
Event Start Date & Time
December 3, 2015 09:00 AM
Event End Date & Time
December 3, 2015 12:00 PM
Description/Agenda
Utah Securities Commission December 3, 2015 Room 403-9:00 A.M. Agenda Welcome & Call to Order Approval of the August 27, 2015 Minutes Director's Report: Keith Woodwell - Personnel Update - Division Legislation - Crowdfunding Legislation - Anti-Trust Exemption for Boards and Commissions - Administrative Expungement Section Reports : Enforcement: Dave Hermansen Compliance: Ken Barton Registration & Licensing: Benjamin Johnson Investor Education: Karen McMullin Regulation A Notice Filing Rule: Benjamin Johnson Education and Training Fund Report: Benjamin Johnson Consideration and Approval of Proposed Orders: David S. Scott; Corporate Funding & Investments, LLC: SD-15-0038; SD-15-0040; Recommended Order on Motion for Default. Tom Melton Veronica M. Valenzuela and Wealth Makers of Utah, LLC: SD-15-0028; SD-15-0030; Stipulation and Consent Order. KristiLyn Wilkinson LPL Financial: Stipulation and Consent Order. Kenneth Barton. Jesse S. Heaton; Peak Financial Group, LLC; and Mark Bench: SD-15-0042; SD-15-0043; SD-15-0045; Stipulation and Consent Order. Richard Jaramillo 10:30am and Large Tab 1: Evidentiary Hearing: Charles Scot Roundtree; High Fly'n Zip Lines, LLC; SD-15-0026; SD-15-0027
Notice of Special Accommodations (ADA)
Compliant.
Notice of Electronic or Telephone Participation
N/A

Meeting Information

Meeting Location
160 East 300 South, 2nd Floor
Salt Lake City,
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Contact Name
Ashlee Buchholz
Contact Email
abuchholz@utah.gov
Contact Phone
(801)530-6436

Notice Posting Details

Notice Posted On
November 25, 2015 08:48 AM
Notice Last Edited On
November 25, 2015 08:48 AM

Download Attachments

File Name Category Date Added
Meeting_Audio-2015-12-03.MP3 Audio Recording 2015/12/04 04:01 PM
Minutes Approved_2015-12-03.pdf Meeting Minutes 2016/02/01 02:54 PM
Orders_2015-12'3.pdf Other 2015/12/04 03:59 PM


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