Entity: Department of Commerce
Body: Securities Commission
| Subject: | Securities |
| Notice Title: | Securities Commission Meeting |
| Meeting Location: | 160 E 300 S, Second Floor 160 East 300 South, 4th Floor Hearing Room 403 Salt Lake City 84111 |
| Event Date & Time: |
November 29, 2018 November 29, 2018 09:00 AM - November 29, 2018 12:00 PM |
| Description/Agenda: |
Utah Securities Commission
November 29, 2018
9:00 A.M - 12:00 P.M., Room 451
Agenda
Welcome & Call to Order
Tab 1: Approval of the October 4, 2018 Minutes
Director's Report: Tom Brady
Section Reports:
1. Enforcement: Francswai Davis
2. Compliance: Ken Barton
3. Registration & Licensing: Nathan Summers
4. Investor Education: Karen McMullin
Tab 2: Education and Training Fund Report: Nathan Summers
Consideration and Approval of Proposed Orders:
Tab 3: Cuso Financial Services, L.P.; SD-18-0017: Stipulation and Consent Order. (Tom M)
Tab 4: Aspen Capital Management; SD-18-0003: Stipulation and Consent Order. (Paula)
Tab 5: Texas Energy Mutual, LLC; SD-18-0018: Default Order. (Jen)
Tab 6: Globa, Inc; Kenneth Ekow Andam; SD-16-0033, SD-16-0034: Order on Motion for Summary Judgment as to Globa, Inc.
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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 23, 2018 08:38 AM |
| Last edited on: | November 27, 2018 01:35 PM |