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Department of Commerce:
Securities Commission

Entity: Department of Commerce

Body: Securities Commission

Subject: Public Meetings

Notice Title: Utah Division of Securities Commission Meeting

Notice Type: Meeting

Event Start Date & Time: December 3, 2015 09:00 AM

Event End Date & Time: December 3, 2015 12:00 PM


Utah Securities Commission
December 3, 2015
Room 403-9:00 A.M.

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:


Notice of Electronic or telephone participation:


Other Information

This notice was posted on: November 25, 2015 08:48 AM
This notice was last edited on: November 25, 2015 08:48 AM

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