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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
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 (ADA)
Compliant.
Notice of Electronic or Telephone Participation
N/A

Meeting Information

Meeting Location
Heber M. Wells Building (Room 451)
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 11:35 AM
Notice Last Edited On
December 05, 2017 01:48 PM

Download Attachments

File Name Category Date Added
Audio_2017_12_07.mp3 Audio Recording 2017/12/07 03:46 PM
Final Minutes 2017_12_07.pdf Meeting Minutes 2018/03/23 10:08 AM
Orders_2017_12_07.pdf Other 2017/12/11 10:29 AM

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