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General Information

Government Type
State Agency
Department of Commerce
Public Body
Securities Commission

Notice Information

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Notice Title
Securities Commission Meeting
Notice Subject(s)
Notice Type(s)
Event Start Date & Time
May 25, 2017 09:00 AM
Event End Date & Time
May 25, 2017 12:00 PM
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)
Notice of Electronic or Telephone Participation

Meeting Information

Meeting Location
Heber M. Wells Building (Room 403)
160 East 300 South
Salt Lake City, 84111
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Contact Name
Ashlee Buchholz
Contact Email
Contact Phone

Notice Posting Details

Notice Posted On
January 30, 2017 11:26 AM
Notice Last Edited On
May 23, 2017 08:34 AM

Download Attachments

File Name Category Date Added
Audio_2017-05-25.mp3 Audio Recording 2017/05/25 11:39 AM
Final Minutes 2017_05_25.pdf Meeting Minutes 2017/08/09 02:06 PM
Orders_2017-05-25.pdf Public Information Handout 2017/05/26 02:58 PM


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