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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: Meeting

Event Start Date & Time: January 24, 2019 09:00 AM

Event End Date & Time: January 24, 2019 12:00 PM

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:

Compliant.

Notice of Electronic or telephone participation:

N/A

Other Information

This notice was posted on: January 04, 2019 08:48 AM
This notice was last edited on: January 23, 2019 08:04 AM
Deadline Date: January 21, 2019 01:00 AM

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