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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)
Public Meetings
Notice Type(s)
Notice, Meeting, Hearing
Event Start Date & Time
August 5, 2021 09:00 AM
1. Approval of April 8,2021 meeting minutes Directors Report Jason E. Sterzer Section Reports Licensing and Registration Bryan Cowley Compliance Ken Barton Enforcement Dave Hermansen Investor Education Karen McMullin Grant Request from the Securities Investor Education and Training Fund 2. Education Fund Expenditure Request 3. Junior Achievement of Utah 4. Utah Financial Empowerment Coalition Consideration and Approval of Proposed Orders 5. Stipulation and Consent Order Richard Baldwin SD-19-0005
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 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

Meeting Information

Meeting Location
160 East 300 South
Salt Lake City, UT 84111
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Contact Name
Ashlee Buchholz
Contact Email
Contact Phone

Notice Posting Details

Notice Posted On
November 03, 2021 08:16 AM
Notice Last Edited On
November 03, 2021 08:25 AM

Download Attachments

File Name Category Date Added
SD - Commission Meeting - 08.05.2021 (1).mp3 Audio Recording 2021/11/03 08:20 AM
Aug 5 Agenda.pdf Other 2021/11/03 08:20 AM
Stipiulation and Consent Order Richard Baldwin.pdf Other 2021/11/03 08:25 AM
Approved Minutes August 5th.pdf Other 2021/11/03 08:25 AM


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