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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: Notice, Meeting

Event Start Date & Time: August 6, 2020 09:00 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:

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.

Other Information

This notice was posted on: January 29, 2020 12:28 PM
This notice was last edited on: September 04, 2020 04:15 PM

Board/Committee Contacts

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