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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, Hearing

Event Start Date & Time: October 14, 2021 09:00 AM

Event End Date & Time: October 14, 2021 10:00 AM

Description/Agenda: 

COMMENCEMENT
9:00 AM

1. Approval of August 5,2021 meeting minutes
DIRECTOR'S REPORT - Jason E. Sterzer

SECTION REPORTS
- Licensing and Registration - Bryan Cowley
- Compliance - Ken Barton
- Enforcement - Dave Hermansen
- Investor Education - Karen McMullin

2. Education Fund Expenditure Request -Aaron Burgoyne

CONSIDERATION AND APPROVAL OF PROPOSED ORDER(S)

3.Stipulation and Consent Order  
SD-19-0028          Joel Ellowitz

4. Stipulation and Consent Order        
SD- 21-0008	      PEG/Mark Wheeler	            	

5.  Order of Default Judgement	            SD-21-0005	       Elida Maria Abreu

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 Zoe Gomez, ADA Coordinator, Division of Securities, PO Box 146760, 160 East 300 South, Salt Lake City, Utah 84114-6760, Phone 801-530-6436, at least three (3) working days prior to the meeting.

Notice of Electronic or telephone participation:

N/A

Other Information

This will be an in-person meeting that's open to the public. It will be on floor 2 in the the Giani Hearing Room.

This notice was posted on: October 26, 2020 02:39 PM
This notice was last edited on: October 15, 2021 01:52 PM

Board/Committee Contacts

Member Email Phone

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