Entity: Department of Commerce

Body: Securities Commission

Subject: Securities
Notice Title: Securities Commission
Meeting Location: 160 East 300 South, 4th Floor

Salt Lake City  UT  84111
Event Date & Time: March 28, 2013
March 28, 2013 09:00 AM - March 28, 2013 12:00 PM
                        Utah Securities Commission 
March 28, 2013
Room 451 - 9:00 AM


Welcome/Call to Order 	                Erik Christiansen		
1.  Approval of January 24, 2013  Minutes   Erik Christiansen	
2.   Director's Report  		                 Keith Woodwell
      a. Update on Budget  
      b. Update on Division Staffing
      c. Two Day Meeting in July (trial)
      d.  Commissioners Terms that are Expiring

3.   Investor Education Update	                Karen McMullin
4.    Section Reports 	 
       a.  Licensing & Compliance Section      Ken Barton
       b   Corporate Finance Section               Benjamin Johnson
            - Rule Modifications
       c.   Enforcement Section	                Dave Hermansen
5.    Education and Training Fund Report    Benjamin Johnson	
       a.    Grant Request:  MountainWest Capital
              Network			Keith Woodwell 					
6.     Consideration and Approval of Proposed Orders 
       a.    Bryce Lee Karl dba  		Dave Hermansen
              Karl Hospitality, Inc.
       b.    Breakthrough Technologies	Dave Hermansen
              Charles Ross Chatwin
              Mark Andrew Jackson
       c.    Trump Alliance, LLC		Dave Hermansen
              Stephen Ronald Trump
       d.    Rayda Roundy		Dave Hermansen
       e.    James Lee Anderson		Dave Hermansen
       f.     Craig Eldon Taylor dba The 
              Mall Hop &			Dave Hermansen
              Smoothie Beach				
       g.    Sonocine, Inc.		Benjamin Johnson 
       h.	Morgan Asset Management, Inc.	 Ken Barton
	Morgan Keegan & Company, Inc.
       i.	Taylor Capital Group, LLC	 Ken Barton
	Mark Stephen Taylor
       j. 	Mark L. Caldwell		Ken Barton 


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 Maria Skedros, ADA Coordinator, Division of Securities, P O Box 146760, 160 E 300 S, Salt Lake City, Utah 84114-6711, Phone (801) 530-6436, at least three working days prior to the meeting.
Notice of Electronic or telephone participation: N/A
Other information:
Contact Information: Zoe Gomez
Posted on: March 26, 2013 11:28 AM
Last edited on: January 07, 2022 09:04 AM

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