General Information

Government Type

State Agency

Entity

Department of Commerce

Public Body

Securities Commission

Notice Information

Add Notice to Calendar

Notice Title

Utah Division of Securities Commission Meeting

Notice Subject(s)

Securities

Notice Type(s)

Notice, Meeting

Event Start Date & Time

January 28, 2016 09:00 AM

Event End Date & Time

January 28, 2016 12:00 PM

Description/Agenda

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

Compliant.

Notice of Electronic or Telephone Participation

N/A

Meeting Information

Meeting Location

160 East 300 South, 2nd Floor
Salt Lake City, 84111
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Contact Name

Ashlee Buchholz

Contact Email

abuchholz@utah.gov

Contact Phone

(801)530-6436

Notice Posting Details

Notice Posted On

January 26, 2016 04:06 PM

Notice Last Edited On

January 26, 2016 04:06 PM

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