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


                    
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 11:35 AM
Last edited on: December 05, 2017 01:48 PM

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