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Securities Commission

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Notice Title
Securities Commission
Notice Subject(s)
Notice Type(s)
Event Start Date & Time
March 28, 2013 09:00 AM
Event End Date & Time
March 28, 2013 12:00 PM
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

Meeting Information

Meeting Location
160 East 300 South, 4th Floor
Salt Lake City, UT 84111
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Contact Name
Ashlee Buchholz
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Contact Phone

Notice Posting Details

Notice Posted On
March 26, 2013 11:28 AM
Notice Last Edited On
November 03, 2022 10:50 AM

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File Name Category Date Added
Securities Commission Meeting - March 28, 2013.mp3 Audio Recording


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