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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: January 13, 2022 09:00 AM

Event End Date & Time: January 13, 2022 10:00 AM

Description/Agenda:

COMMENCEMENT
9:00 AM

1. Approval of October 14,2021 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  
Docket Number
SD-19-0037  STIS HOLDINGS LLC
SD-19-0038  NOVARE LLC
SD-19-0039  ST ROCH LLC
SD-19-0040  LANCE M. KING

4.Stipulation and Consent Order         
SD-19-0041  THOMAS M. SWENSEN

5. Addendum to Stipulation Order        
SD-21-0005  CLARK CAMPBELL 









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: January 03, 2022 10:19 AM
This notice was last edited on: May 26, 2022 02:25 PM

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