Securities Commission Meeting

Notice Title: Securities Commission Meeting
Notice Subject(s): Securities
Notice Type(s): Meeting
Event Start Date & Time: May 25, 2017 09:00 AM
Event End Date & Time: May 25, 2017 12:00 PM
Description/Agenda: Utah Securities Commission May 25, 2017 Room 403-9pm Agenda Welcome & Call to Order Approval of the March 23, 2017 Minutes Director's Report: Keith Woodwell Presentation to Commission Chair Erik Christiansen Section Reports: Enforcement: Dave Hermansen Compliance: Ken Barton Licensing: Benjamin Johnson Rules Amendment(s)/Repeal: Benjamin Johnson R164-2-1 Amendment R164-4-3 Amendment R164-14-2n Repeal Investor Education: Karen McMullin Grant Application: Utah Jump$tart Coalition ($15,000): Anne Tippitts or Susan Speirs Education and Training Fund Report: Benjamin Johnson Consideration and Approval of Proposed Orders: Mario Ozuna, Adam Ozuna and Home Safety Modification: SD-16-0059, SD-16-0060, SD-16-0061: Order on Motion for Default. Jen Korb William Clayton Cox: SD-15-0039: Order on Division's Motion for Summary Judgment. Jen Korb My Investment Advisor, Inc., SD-17-0010: Stipulation and Consent Order as to My Investment Advisor, Inc. Jason Sterzer Travis L. Higgins and UCI Wealth Advisors, LLC: SD-17-0011, SD-17-0012: Stipulation and Consent Order: Jason Sterzer
Notice of Special Accommodations (ADA): Compliant.
Notice of Electronic or Telephone Participation: N/A

Meeting Location: Heber M. Wells Building (Room 403)
160 East 300 South
Salt Lake City, 84111
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Contact Name: PBM-00005299
Contact Email: abuchholz@utah.gov
Contact Phone: (801)530-6436

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