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Securities Commission Meeting

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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
January 24, 2019 09:00 AM
Event End Date & Time
January 24, 2019 12:00 PM
Event Deadline Date & Time
01/21/19 01:00 AM
Description/Agenda
Utah Securities Commission January 24, 2019 9:00 A.M - 12:00 P.M., Room 451 Agenda Welcome & Call to Order Tab 1: Approval of the November 29, 2018 Minutes Director's Report: Tom Brady Section Reports: 1. Enforcement: Dave Hermansen 2. Compliance: Ken Barton 3. Registration & Licensing: Bryan Cowley Tab 2: Education and Training Fund Report: Bryan Cowley Consideration and Approval of Proposed Orders: Tab 3: LPL Financial LLC; SD-18-004: Stipulation and Consent Order (Ken) Tab 4: Stephen Brandley; Clearwater Funding, LLC: SD-16-0039 and SD-16-0041: Order clarification (Jen) Tab 5: Mountain America Federal Credit Union DBA Mountain America Credit Union; Mountain America Financial Services Mountain America Investment Services: SD-07-0022, SD-07-0023 and SD-07-0024: Addendum to Consent Order (Jen)) Tab 6: Dean A Hamilton; SD-12-0078: Stipulation and Consent Order (Ken) Hearing Schedule: None
Notice of Special Accommodations (ADA)
Compliant.
Notice of Electronic or Telephone Participation
N/A

Meeting Information

Meeting Location
160 E Broadway RM 451
Salt Lake City, 84111
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Contact Name
Ashlee Buchholz
Contact Email
abuchholz@utah.gov
Contact Phone
(801)530-6436

Notice Posting Details

Notice Posted On
January 04, 2019 08:48 AM
Notice Last Edited On
January 23, 2019 08:04 AM
Deadline Date
January 21, 2019 01:00 AM

Download Attachments

File Name Category Date Added
1.24.2019 Commission Meeting.MP3 Audio Recording 2019/01/24 03:20 PM
Signed and Approved Meeting Minutes 11.29.2018.pdf Meeting Minutes 2019/01/24 03:43 PM
Proposed Meeting Minutes.docx Meeting Minutes 2019/02/13 02:30 PM
Signed Orders in Order of Presentation.pdf Other 2019/01/24 03:42 PM


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