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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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