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
                        Utah Securities Commission
March 21, 2019
9:00 A.M - 12:00 P.M., Room 451

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)

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
Posted on: January 04, 2019 08:49 AM
Last edited on: March 20, 2019 11:49 AM

Printed from Utah's Public Notice Website (http://pmn.utah.gov/)