Entity: Department of Commerce

Body: Securities Commission

Subject: Securities
Notice Title: Securities Commission Meeting
Meeting Location: Heber M. Wells Building (Room 403)
160 East 300 South
Salt Lake City    84111
Event Date & Time: May 25, 2017
May 25, 2017 09:00 AM - May 25, 2017 12:00 PM
Description/Agenda:
                        Utah Securities Commission
May 25, 2017
Room 403-9pm
Agenda 

Welcome & Call to Order

Approval of the March 23, 2017 Minutes

Director's Report:  Keith Woodwell 
Presentation to Commission Chair Erik Christiansen

Section Reports:
Enforcement:  Dave Hermansen
Compliance:  Ken Barton
Licensing:  Benjamin Johnson
 Rules Amendment(s)/Repeal:  Benjamin Johnson
			R164-2-1 Amendment 
			R164-4-3 Amendment
			R164-14-2n Repeal
Investor Education:  Karen McMullin

Grant Application:  Utah Jump$tart Coalition ($15,000):  Anne Tippitts or Susan Speirs

Education and Training Fund Report:  Benjamin Johnson

Consideration and Approval of Proposed Orders:
Mario Ozuna, Adam Ozuna and Home Safety Modification:  SD-16-0059, SD-16-0060, SD-16-0061: Order on Motion for Default.  Jen Korb

William Clayton Cox:  SD-15-0039:  Order on Division's Motion for Summary Judgment.  Jen Korb

My Investment Advisor, Inc., SD-17-0010:  Stipulation and Consent Order as to My Investment Advisor, Inc.  Jason Sterzer

Travis L. Higgins and UCI Wealth Advisors, LLC:  SD-17-0011, SD-17-0012:  Stipulation and Consent Order:  Jason Sterzer

                    
Notice of Special Accommodations: Compliant.
Notice of Electronic or telephone participation: N/A
Other information:
Contact Information: Sabrina Afridi
(801)530-6436
safridi@utah.gov
Posted on: January 30, 2017 11:26 AM
Last edited on: May 23, 2017 08:34 AM

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