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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: December 7, 2017 09:00 AM

Event End Date & Time: December 7, 2017 12:00 PM

Description/Agenda: 

Amended 
12/5/2017 at 9:35 a.m.


Utah Securities Commission
December 7, 2017
Room 451-9:00 A.M.
Agenda 

Welcome & Call to Order

Approval of the October 19, 2017 Minutes

Director's Report:  Keith Woodwell 
			

Section Reports:	
Enforcement:  Andreo Micic
Compliance:  Ken Barton
Investor Education:  Karen McMullin
Registration & Licensing:  Bryan Cowley

Education and Training Fund Report:  Keith Woodwell/Bryan Cowley

Consideration and Approval of Proposed Orders:
Town and Country; SD-17-0040; Stipulation and Consent Order.  Presenting:  Paula Faerber

Casey Wilson; SD-17-0035; Stipulation and Consent Order.  Presenting:  Liz Blaylock

Donald Daniel; SD-17-0027; Default Order.  Presenting:  Jen Korb

Jack Phillips; SD-12-0001; Stipulation and Consent Order.  Presenting:  Keith Woodwell

Ascendus Capital Management, LLC; Richard T. Smith; SD-10-0070; SD-10-0071.  Presenting:  Paula Faerber

Notice of Special Accommodations:

Compliant.

Notice of Electronic or telephone participation:

N/A

Other Information

This notice was posted on: January 30, 2017 11:35 AM
This notice was last edited on: December 05, 2017 01:48 PM

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