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Securities Commission Meeting

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)
Notice, Meeting
Event Start Date & Time
August 6, 2020 08:00 AM
Event End Date & Time
August 6, 2020 12:00 PM
Description/Agenda
COMMENCEMENT & ROLL CALL : 9:00 AM 1) Approval of May 7, 2020 Minutes 2) Grant Requests A) Junior Achievement of Utah Requesting: $5,000 Presenter: Christy Tribe B) Utah Financial Planning Association Requesting: $10,000 Presenter: Jenie Connors 3) Education Fund Expenditure Request Presenter: Bryan Cowley DIRECTOR'S REPORT Presenter: Thomas A. Brady SECTION REPORTS - Compliance Presenter: Ken Barton - Enforcement Presenter: Dave Hermansen - Registration and Licensing Presenter: Bryan Cowley - Investor Education Presenter: Karen McMullin CONSIDERATION & APPROVAL OF PROPOSED ORDERS 4) Proposed Order: Stipulation and Consent Order Docket No.: SD-19-0007 In the matter of: Maria Guadalupe Maynes Presenter: Francswai Grayson 5) Proposed Order: Stipulation and Consent Order Docket No.: SD-20-0011 In the matter of: Patrick John Hutton Presenter: Francswai Grayson
Notice of Special Accommodations (ADA)
In compliance with the Americans with Disabilities Act, individuals needing special accommodations (including auxiliary communicative aids and services) during this meeting should notify Sabrina Afridi, ADA Coordinator, Division of Securities, PO Box 146760, 160 East 300 South, Salt Lake City, Utah 84114-6760, Phone 801-530-6600, at least three (3) working days prior to the meeting.
Notice of Electronic or Telephone Participation
This meeting will be held electronically via Google Meet.

Meeting Information

Meeting Location
160 East 300 South
Salt Lake City, UT 84111
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Contact Name
PBM-00005299
Contact Email
abuchholz@utah.gov
Contact Phone
(801)530-6436

Notice Posting Details

Notice Posted On
January 29, 2020 12:28 PM
Notice Last Edited On
January 12, 2021 03:19 PM

Download Attachments

File Name Category Date Added
Audio Recording_08062020.mp3 Audio Recording 2020/08/10 02:10 PM
05072020_Approved_Minutes.pdf Meeting Minutes 2020/08/10 01:12 PM
08062020_Pending Minutes.pdf Meeting Minutes 2020/09/04 04:15 PM
Agenda.pdf Other 2020/08/10 01:12 PM
Determination mtg without anchor location_08062020.pdf Other 2020/08/10 01:13 PM
Executed Orders.pdf Other 2020/08/10 01:46 PM

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