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Securities Commission Meeting

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General Information

Government Type
State Agency
Department of Commerce
Public Body
Securities Commission

Notice Information

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Notice Title
Securities Commission Meeting
Notice Subject(s)
Notice Type(s)
Notice, Meeting
Event Start Date & Time
January 7, 2021 09:00 AM
Event End Date & Time
January 7, 2021 11:00 AM
UTAH DIVISION OF SECURITIES SECURITIES COMMISSION MEETING | AGENDA | JANUARY 7, 2021 ELECTRONIC MEETING | 9:00 AM-12:00 PM COMMENCEMENT AND ROLL CALL 1) Approval of October 7, 2020 Meeting Minutes DIRECTOR'S REPORT Presenter: Jason Sterzer, Acting Director SECTION REPORTS Compliance Presenter: Ken Barton Enforcement Presenter: Dave Hermansen Investor Education Presenter: Karen McMullin Licensing and Registration Presenter: Bryan Cowley 2) Education Fund Expenditure Request Presenter: Bryan Cowley CONSIDERATION AND APPROVAL OF PROPOSED ORDERS 3) Proposed Order: Stipulation and Consent Order Docket No: SD-20-0030 In the matter of: Brandon C. Stimpson Presenter: Chip Lyons 4) Proposed Order: Stipulation and Consent Order Docket Nos: SD-20-0036 and SD-20-0037 In the matter of: Allan C. Millet and PC Capital LP Francswai Grayson END
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 without an anchor location. Members of the public who would like to watch the electronic meeting: please copy and paste the 'live stream meeting link' (provided below) in your web browsers address bar. LIVE STREAM MEETING LINK: https://stream.meet.google.com/stream/6f15a15f-4b15-4a7e-b4c6-5af08ae99869

Meeting Information

Meeting Location
160 E 300 S
Fl 2
Salt Lake City, UT 84111
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Contact Name
Ashlee Buchholz
Contact Email
Contact Phone

Notice Posting Details

Notice Posted On
October 26, 2020 02:40 PM
Notice Last Edited On
February 09, 2021 09:11 AM

Download Attachments

File Name Category Date Added
Audio Recording_Securities Commission Electronic Meeting_01072021.mp3 Audio Recording 2021/01/12 03:55 PM
Approved Meeting Minutes_10072020.pdf Meeting Minutes 2021/01/12 03:20 PM
Pending Meeting Minutes_01072021.pdf Meeting Minutes 2021/02/09 09:09 AM
Approved Orders.pdf Public Information Handout 2021/01/12 03:21 PM
Determination Meeting without Anchor Location_01072021.pdf Public Information Handout 2021/01/12 03:22 PM
Education Fund Expenditure Request_Approved.pdf Public Information Handout 2021/02/09 09:11 AM
Agenda.pdf Other 2021/01/05 06:44 PM


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