Entity: Department of Commerce
Body: Securities Commission
Subject: | Public Meetings |
Notice Title: | Utah Division of Securities Commission Meeting |
Meeting Location: | 160 East 300 South, 2nd Floor Salt Lake City |
Event Date & Time: |
December 3, 2015 December 3, 2015 09:00 AM - December 3, 2015 12:00 PM |
Description/Agenda: | Utah Securities Commission December 3, 2015 Room 403-9:00 A.M. Agenda Welcome & Call to Order Approval of the August 27, 2015 Minutes Director's Report: Keith Woodwell - Personnel Update - Division Legislation - Crowdfunding Legislation - Anti-Trust Exemption for Boards and Commissions - Administrative Expungement Section Reports : Enforcement: Dave Hermansen Compliance: Ken Barton Registration & Licensing: Benjamin Johnson Investor Education: Karen McMullin Regulation A Notice Filing Rule: Benjamin Johnson Education and Training Fund Report: Benjamin Johnson Consideration and Approval of Proposed Orders: David S. Scott; Corporate Funding & Investments, LLC: SD-15-0038; SD-15-0040; Recommended Order on Motion for Default. Tom Melton Veronica M. Valenzuela and Wealth Makers of Utah, LLC: SD-15-0028; SD-15-0030; Stipulation and Consent Order. KristiLyn Wilkinson LPL Financial: Stipulation and Consent Order. Kenneth Barton. Jesse S. Heaton; Peak Financial Group, LLC; and Mark Bench: SD-15-0042; SD-15-0043; SD-15-0045; Stipulation and Consent Order. Richard Jaramillo 10:30am and Large Tab 1: Evidentiary Hearing: Charles Scot Roundtree; High Fly'n Zip Lines, LLC; SD-15-0026; SD-15-0027 |
Notice of Special Accommodations: | Compliant. |
Notice of Electronic or telephone participation: | N/A |
Other information: | |
Contact Information: |
Ashlee Buchholz (801)530-6436 abuchholz@utah.gov |
Posted on: | November 25, 2015 08:48 AM |
Last edited on: | November 25, 2015 08:48 AM |