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Department of Commerce:
Securities Commission

Entity: Department of Commerce

Body: Securities Commission

Subject: Securities

Notice Title: Securities Commission Meeting & Hearing

Notice Type: Notice, Meeting

Event Start Date & Time: May 7, 2020 09:00 AM

Event End Date & Time: May 7, 2020 12:00 PM

Description/Agenda:

COMMENCEMENT & ROLL CALL	/9:00 AM


TAB 1
Approval of March 19, 2020 Minutes.


DIRECTOR'S REPORT									
Presenter: Thomas Brady

SECTION REPORTS 
Compliance	
Presenter: Ken Barton

Enforcement 
Presenter: Dave Hermansen

Investor Education
Presenter: Karen McMullin

Registration and Licensing 
Presenter: Bryan Cowley

 
TAB 2 	
Education Fund Expenditure Request							
Presenter: Bryan Cowley


TABS 3-4 | CONSIDERATION & APPROVAL OF PROPOSED ORDERS
		
Tab 3		
Proposed Order: Stipulation and Consent Order	
In the matter of: Ryan L. Farr			
Docket No.: SD-17-0025	
Presenter: Francswai Grayson	

Tab 4		
Proposed Order: Stipulation and Consent Order	
In the matter of: Benjamin D. Williams		
Docket No.: SD-17-0028
Presenter: Francswai Grayson
		

Notice of Special Accommodations:

Not applicable, as this is solely en electronic meeting.

Notice of Electronic or telephone participation:

This Securities Commission Meeting is solely an electronic meeting hosted through Google Meet. Call in number: +1 417-448-6054 PIN: 407 942 171# Available via Live Stream: https://stream.meet.google.com/stream/6f15a15f-4b15-4a7e-b4c6-5af08ae99869 For participation instructions, please go to: https://support.google.com/meet/answer/9303069?hl=en&ref_topic=7192926. Then refer to the heading, 'Join a video meeting' If you should have any questions about this, feel free to contact Sabrina Afridi (safridi@utah.gov).

Other Information

This notice was posted on: January 29, 2020 12:26 PM
This notice was last edited on: June 29, 2020 05:13 PM

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