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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
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:
Compliant.
Notice of Electronic or telephone participation:
N/A
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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