Public Notice Website
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) |
Notice of Special Accommodations: | Compliant. |
Notice of Electronic or telephone participation: | N/A |
Other information: | |
Contact Information: |
Zoe Gomez (801)530-6436 zoeg@utah.gov |
Posted on: | January 04, 2019 08:49 AM |
Last edited on: | March 20, 2019 11:49 AM |