Securities Commission Meeting
General Information
- Government Type
- State Agency
- Entity
- Department of Commerce
- Public Body
- Securities Commission
Notice Information
- Notice Title
- Securities Commission Meeting
- Notice Subject(s)
- Securities
- Notice Type(s)
- 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 (ADA)
- Compliant.
- Notice of Electronic or Telephone Participation
- N/A
Meeting Information
- Meeting Location
-
160 E 300 S, Second Floor
160 East 300 South, 4th Floor Hearing Room 403
Salt Lake City, 84111
Show in Apple Maps Show in Google Maps - Contact Name
- PBM-00005299
- Contact Email
- abuchholz@utah.gov
- Contact Phone
- (801)530-6436
Notice Posting Details
- Notice Posted On
- January 23, 2018 08:38 AM
- Notice Last Edited On
- November 27, 2018 01:35 PM
Download Attachments
| File Name | Category | Date Added |
|---|---|---|
| 11.29.2018 SEC Commission Mtg.MP3 | Audio Recording | 2018/11/30 08:12 AM |
| Approved Meeting Minutes 10.04.2018.pdf | Meeting Minutes | 2018/11/30 04:39 PM |
| Proposed Meeting Minutes 11.29.2018.pdf | Meeting Minutes | 2019/01/04 08:37 AM |
| Full Meeting Orders.pdf | Other | 2018/11/30 01:11 PM |
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