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: |
March 21, 2019 March 21, 2019 09:00 AM - March 21, 2019 12:00 PM |
| Description/Agenda: |
Utah Securities Commission
March 21, 2019
9:00 A.M - 12:00 P.M., Room 451
Agenda
Welcome & Call to Order
Tab 1: Approval of the January 24, 2019 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
Tab 3: Grant Request: Diversify
Consideration and Approval of Proposed Orders:
Tab 4: Dallas Tall, SD-17-0015: Order on Motion for Summary Judgment (Paula)
Tab 5: Lee Charles Rasmussen, SD-19-0003: Stipulation and Consent Order (Sean)
Hearing
Kenny Andam, SD-16-0034: evidentiary fine
Cetera, SD-18-0014: Stipulation and Consent Order (Eric/Tom M)
Paul Neuenswander, SD-18-0015: Stipulation and Consent Order (Eric/Tom M)
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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 04, 2019 08:49 AM |
| Last edited on: | March 20, 2019 11:49 AM |