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.

                    
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 23, 2018 08:38 AM
Last edited on: November 27, 2018 01:35 PM

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