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Department of Commerce:
Securities Commission

Entity: Department of Commerce

Body: Securities Commission

Subject: Securities

Notice Title: Securities Commission Meeting

Notice Type: Meeting

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

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:


Notice of Electronic or telephone participation:


Other Information

This notice was posted on: January 30, 2017 11:26 AM
This notice was last edited on: May 23, 2017 08:34 AM

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