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)
- Meeting
- Event Start Date & Time
- May 23, 2019 09:00 AM
- Event End Date & Time
- May 23, 2019 12:00 PM
- Event Deadline Date & Time
- 05/20/19 01:00 AM
- Description/Agenda
- Utah Securities Commission May 23, 2019 9:00 A.M - 12:00 P.M., Room 451 Agenda Welcome & Call to Order Swearing in of Lyndon Ricks, New Division of Securities Commissioner: Tom Brady Gift presentation Brent R. Baker Tab 1: Approval of the March 21, 2019 Minutes Director's Report: Tom Brady Section Reports: 1. Enforcement: Dave Hermansen 2. Compliance: Ken Barton 3. Registration & Licensing: Bryan Cowley 4. Investor Education Report: Dee Johnson Tab 2: Education and Training Fund Report: Bryan Cowley Tab 3: Grant Request: Utah Financial Empowerment Coalition ($5,000), Junior Achievement ($5,000) & AARP ($20,000) Consideration and Approval of Proposed Orders: Tab 4: Austin Raught, SD-19-0013: Stipulation and Consent Order. (Francswai) Tab 5: Carlos Rodriguez, SD-19-0008: Stipulation and Consent Order. (Francswai) Tab 6: Richard Justin Pupunu, SD-19-0006: Stipulation and Consent Order (Francswai) Tab 7: Manly Logan, SD-14-0028: Order on Motion for Summary Judgment as to Manly E. Logan. (Paula) Hearings Scheduled Clint Nordahl, SD-18-0042: Fine determination. (Jen)
- 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
Show in Apple Maps Show in Google Maps - Contact Name
- Ashlee Buchholz
- Contact Email
- abuchholz@utah.gov
- Contact Phone
- (801)530-6436
Notice Posting Details
- Notice Posted On
- January 04, 2019 08:52 AM
- Notice Last Edited On
- May 22, 2019 02:41 PM
- Deadline Date
- May 20, 2019 01:00 AM
Download Attachments
| File Name | Category | Date Added |
|---|---|---|
| Audio1 - 05-23-2019.MP3 | Audio Recording | 2019/05/23 01:28 PM |
| Audio2 - 05-23-2019.MP3 | Audio Recording | 2019/05/23 01:28 PM |
| Approved Minutes from 03-21-2019.pdf | Meeting Minutes | 2019/05/23 01:04 PM |
| Combined Signed Orders from 05-23-2019.pdf | Other | 2019/05/28 10:10 AM |
| Proposed Minutes 05-23-2019 meeting edited.pdf | Other | 2019/06/03 03:53 PM |
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