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