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: |
Ashlee Buchholz (801)530-6436 abuchholz@utah.gov |
| Posted on: | January 30, 2017 11:26 AM |
| Last edited on: | May 23, 2017 08:34 AM |