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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: Notice, Meeting

Event Start Date & Time: November 29, 2018 09:00 AM

Event End Date & Time: November 29, 2018 12:00 PM

Description/Agenda: 

Utah Securities Commission
November 29, 2018
9:00 A.M - 12:00 P.M., Room 451
Agenda 

Welcome & Call to Order

Tab 1: Approval of the October 4, 2018 Minutes

            Director's Report:  Tom Brady
            Section Reports:
1.	Enforcement:  Francswai Davis
2.	Compliance:  Ken Barton
3.	Registration & Licensing:  Nathan Summers 
4.	Investor Education:  Karen McMullin

Tab 2: Education and Training Fund Report: Nathan Summers

Consideration and Approval of Proposed Orders:
Tab 3:  Cuso Financial Services, L.P.; SD-18-0017: Stipulation and Consent Order. (Tom M)

Tab 4: Aspen Capital Management; SD-18-0003: Stipulation and Consent Order. (Paula)

Tab 5: Texas Energy Mutual, LLC; SD-18-0018: Default Order. (Jen)

Tab 6: Globa, Inc; Kenneth Ekow Andam; SD-16-0033, SD-16-0034: Order on Motion for Summary Judgment as to Globa, Inc.

Notice of Special Accommodations:

Compliant.

Notice of Electronic or telephone participation:

N/A

Other Information

This notice was posted on: January 23, 2018 08:38 AM
This notice was last edited on: November 27, 2018 01:35 PM

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