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Department of Commerce:
Securities Commission
Entity: Department of Commerce
Body: Securities Commission
Subject: Securities
Notice Title: Securities Commission
Notice Type: 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. Bryce Lee Karl dba Dave Hermansen Karl 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:
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
Other Information
This notice was posted on: March 26, 2013 11:28 AM
This notice was last edited on:
January 07, 2022 09:04 AM
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