Entity: Department of Commerce
Body: Securities Commission
| Subject: | Securities |
| Notice Title: | Securities Commission Meeting |
| Meeting Location: | Heber M. Wells Building (Room 451) 160 East 300 South Salt Lake City 84111 |
| Event Date & Time: |
December 7, 2017 December 7, 2017 09:00 AM - December 7, 2017 12:00 PM |
| Description/Agenda: |
Amended
12/5/2017 at 9:35 a.m.
Utah Securities Commission
December 7, 2017
Room 451-9:00 A.M.
Agenda
Welcome & Call to Order
Approval of the October 19, 2017 Minutes
Director's Report: Keith Woodwell
Section Reports:
Enforcement: Andreo Micic
Compliance: Ken Barton
Investor Education: Karen McMullin
Registration & Licensing: Bryan Cowley
Education and Training Fund Report: Keith Woodwell/Bryan Cowley
Consideration and Approval of Proposed Orders:
Town and Country; SD-17-0040; Stipulation and Consent Order. Presenting: Paula Faerber
Casey Wilson; SD-17-0035; Stipulation and Consent Order. Presenting: Liz Blaylock
Donald Daniel; SD-17-0027; Default Order. Presenting: Jen Korb
Jack Phillips; SD-12-0001; Stipulation and Consent Order. Presenting: Keith Woodwell
Ascendus Capital Management, LLC; Richard T. Smith; SD-10-0070; SD-10-0071. Presenting: Paula Faerber
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| 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 11:35 AM |
| Last edited on: | December 05, 2017 01:48 PM |