Securities Commission Meeting
General Information
- Government Type
- State Agency
- Entity
- Department of Commerce
- Public Body
- Securities Commission
Notice Information
- Notice Title
- Securities Commission Meeting
- Notice Subject(s)
- Securities
- Notice Type(s)
- 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 (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
- 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.
Meeting Information
- Meeting Location
-
160 East 300 South
Second Floor, Giani Room
Salt Lake City, UT 84111
Show in Apple Maps Show in Google Maps - Contact Name
- Ashlee Buchholz
- Contact Email
- abuchholz@utah.gov
- Contact Phone
- (801)530-6436
Notice Posting Details
- Notice Posted On
- January 03, 2022 10:19 AM
- Notice Last Edited On
- May 26, 2022 02:25 PM
Download Attachments
| File Name | Category | Date Added |
|---|---|---|
| Commission Meeting 1.13.mp3 | Audio Recording | 2022/01/13 11:18 AM |
| Approved October 14 Minutes.pdf | Meeting Minutes | 2022/01/13 11:19 AM |
| Approved Minutes January 13,2022.pdf | Meeting Minutes | 2022/05/26 02:25 PM |
| Commission Meeting Agenda.pdf | Other | 2022/01/10 08:10 AM |
| Stipulation and Consent Order. Thomas Swensen.pdf | Other | 2022/01/14 12:00 PM |
| Stipulation and Consent Order. SD-19-0037-40.pdf | Other | 2022/01/14 12:01 PM |
| Addendum Clark Campbell.pdf | Other | 2022/01/14 12:03 PM |
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