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Securities Commission Meeting

General Information

Government Type
State Agency
Entity
Department of Commerce
Public Body
Securities Commission

Notice Information

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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 Information

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

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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