Commission Meeting
General Information
- Government Type
- State Agency
- Entity
- Department of Commerce
- Public Body
- Securities Commission
Notice Information
- Notice Title
- Commission Meeting
- Notice Subject(s)
- Securities
- Notice Type(s)
- Meeting
- Event Start Date & Time
- January 26, 2017 09:00 AM
- Event End Date & Time
- January 26, 2017 12:00 PM
- Description/Agenda
- Utah Securities Commission January 26, 2017 Room 451-9:00 A.M. Agenda Welcome & Call to Order Approval of the September 22, 2016 Minutes Director's Report: Keith Woodwell 2017 Meeting Dates Additional Commission Meeting - April 27 and 28 (Hearing) 2017 Legislative Session Section Reports: Enforcement: Dave Hermansen Compliance: Ken Barton Investor Education: Karen McMullin Registration & Licensing (Tab 3): Benjamin Johnson Grant Application: AARP Utah ($20,000): Laura Polacheck Education and Training Fund Report: Benjamin Johnson Consideration and Approval of Proposed Orders: David Lyle Turner; SD-14-0053: Stipulation and Consent Order. Wayne Jones Artisan Group, LLC; Kenneth Eugene North d.b.a. New Century, New Century Funding, Inc.; SD-11-0046, SD-0047: Stipulation and Consent Order. Wayne Jones Jeffrey Larson; Peak Assessment Management, LLC; SD-16-0044, SD-16-0045: Order on Motion for Default. Jen Korb Robert L. Duvalois; RD3, Inc.; Jason Schwarz, SD-16-0022 SD-16-0023, SD-16-0024: Stipulation and Consent Order: Russ Bulloch Walter Frederick Schwarz; Lone Peak Asset Management, Inc, SD-16-0020, SD16-0021: Stipulation and Consent Order: Russ Bulloch John Jacob Ashton: SD-16-0016: Stipulation and Consent Order: Tom Melton/Ken Barton
- Notice of Special Accommodations (ADA)
- Compliant.
- Notice of Electronic or Telephone Participation
- N/A
Meeting Information
- Meeting Location
-
Heber M. Wells Building
160 East 300 South, Room 451
Salt Lake City, UT, 84111
Show in Apple Maps Show in Google Maps - Contact Name
- Ashlee Buchholz
- Contact Email
- abuchholz@utah.gov
- Contact Phone
- (801)530-6436
Notice Posting Details
- Notice Posted On
- January 23, 2017 12:48 PM
- Notice Last Edited On
- February 23, 2017 10:48 AM
Download Attachments
| File Name | Category | Date Added |
|---|---|---|
| Audio_2017_01-26.mp3 | Audio Recording | 2017/01/30 07:48 AM |
| Orders_2017_01_26.pdf | Audio Recording | 2017/01/30 07:49 AM |
| Final Minutes_01_26_2017.pdf | Meeting Minutes | 2017/03/27 09:00 AM |
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