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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, Hearing
Event Start Date & Time
January 13, 2022 09:00 AM
Event End Date & Time
January 13, 2022 10:00 AM
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
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
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Contact Name
Ashlee Buchholz
Contact Email
Contact Phone

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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