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Department of Commerce:
Securities Commission

Entity: Department of Commerce

Body: Securities Commission

Subject: Securities

Notice Title: Utah Division of Securities Commission Meeting

Notice Type: Notice, Meeting

Event Start Date & Time: January 28, 2016 09:00 AM

Event End Date & Time: January 28, 2016 12:00 PM


Utah Securities Commission
January 28, 2016
Room 403-9:00 A.M.

Welcome & Call to Order

Approval of the December 3, 2015 Minutes

Director's Report:  Keith Woodwell 
			Legislative Update:
-	H.B. 106 'Securities Amendments' Rep. Cunningham.  Amendments to the Utah Securities Act recommended by the Division of Securities, including changes to the statute of limitations, continuing education for investment adviser representatives, expanding the sanctions that can be imposed by the Securities Commission, and codifying the factors to be considered in determining the amount of a fine.
-	H.B. 19 'Expungement Amendments' Rep. Greene. Changes the definition of 'expunge' to require complete removal of criminal records and requires that administrative records relating to the same incident as a criminal expungement be sealed.
-	H.B 118 'Public Access to Administrative Action Amendments' Rep. Greene.  Requires that administrative disciplinary actions be removed from state-controlled websites after ten years and provides for an application process to remove administrative disciplinary actions from state-controlled websites after five years if all conditions of the order have been met.
			Division Personnel Update
Section Reports	:	Enforcement:  Dave Hermansen
			Compliance:  Ken Barton
			Registration & Licensing:  Benjamin Johnson 

Investor Education/Stock Market Annual Reports:  Karen McMullin

Grant Request:  Utah Financial Planning Association:  Jerry Garrett

Education and Training Fund Report:  Benjamin Johnson

Consideration and Approval of Proposed Orders:
Edward J. Eyring:  SD-15-0053:  Recommended Order on Motion for Default.  Tom Melton

Martin W. Macey and SureMark Worldwide, LLC:  SD-15-0062; SD-15-0063:  Recommended Order on Motion for Default.  Tom Melton

John Ryan:  SD-15-0056:  Recommended Order on Motion for Default.  Tom Melton

Brett A. Thompson and Venture Leverage Group, LLC:  SD-15-0057; SD-15-0058:  Recommended Order on Motion for Default.  Tom Melton

Bret Cartwright and Exceptional Realty:  SD-15-0036; SD-15-0037:  Stipulation and Consent Order.  KristiLyn Wilkinson

Charles Scot Rountree and High Fly'n Zip Lines, LLC:  SD-15-0026; SD-15-0027:  Recommended Order on Motion for Default.  Tom Melton

Ronald Richter:  SD-14-0034:  Stipulation and Consent Order.  Matt Edwards

Brett Allen Petersen, Monarch Global, LLC and Atlas Management Group, LLC:  SD-15-0032; SD-15-0033; SD-15-0034:  Stipulation and Consent Order.  Matt Edwards

Sherrell Berrett:  SD-15-0044:  Stipulation and Consent Order.  Richard Jaramillo

Notice of Special Accommodations:


Notice of Electronic or telephone participation:


Other Information

This notice was posted on: January 26, 2016 04:06 PM
This notice was last edited on: January 26, 2016 04:06 PM

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