Entity: Department of Commerce
Body: Securities Commission
| Subject: | Securities |
| Notice Title: | Securities Commission Meeting |
| Meeting Location: | 160 E Broadway RM 451 Salt Lake City 84111 |
| Event Date & Time: |
January 24, 2019 January 24, 2019 09:00 AM - January 24, 2019 12:00 PM |
| Description/Agenda: |
Utah Securities Commission
January 24, 2019
9:00 A.M - 12:00 P.M., Room 451
Agenda
Welcome & Call to Order
Tab 1: Approval of the November 29, 2018 Minutes
Director's Report: Tom Brady
Section Reports:
1. Enforcement: Dave Hermansen
2. Compliance: Ken Barton
3. Registration & Licensing: Bryan Cowley
Tab 2: Education and Training Fund Report: Bryan Cowley
Consideration and Approval of Proposed Orders:
Tab 3: LPL Financial LLC; SD-18-004: Stipulation and Consent Order (Ken)
Tab 4: Stephen Brandley; Clearwater Funding, LLC: SD-16-0039 and SD-16-0041: Order clarification (Jen)
Tab 5: Mountain America Federal Credit Union DBA Mountain America Credit Union; Mountain America Financial Services Mountain America Investment Services: SD-07-0022, SD-07-0023 and SD-07-0024: Addendum to Consent Order (Jen))
Tab 6: Dean A Hamilton; SD-12-0078: Stipulation and Consent Order (Ken)
Hearing Schedule: None
|
| 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 04, 2019 08:48 AM |
| Last edited on: | January 23, 2019 08:04 AM |