Entity: Department of Commerce

Body: Securities Commission

Subject: Securities
Notice Title: Securities Commission Meeting
Meeting Location: 160 East 300 South

Salt Lake City    84111
Event Date & Time: August 6, 2020
August 6, 2020 09:00 AM - August 6, 2020 12:00 PM
Description/Agenda:
                        COMMENCEMENT & ROLL CALL	: 9:00 AM

1) Approval of May 7, 2020 Minutes

2) Grant Requests 

A) Junior Achievement of Utah 
Requesting: $5,000
Presenter: Christy Tribe

B) Utah Financial Planning Association
Requesting: $10,000					
Presenter: Jenie Connors

3) Education Fund Expenditure Request
Presenter: Bryan Cowley

DIRECTOR'S REPORT
Presenter: Thomas A. Brady


SECTION REPORTS 

- Compliance
Presenter: Ken Barton

- Enforcement 										
Presenter: Dave Hermansen

- Registration and Licensing 							
Presenter: Bryan Cowley

- Investor Education									
Presenter: Karen McMullin


CONSIDERATION & APPROVAL OF PROPOSED ORDERS

4) Proposed Order: Stipulation and Consent Order
Docket No.: SD-19-0007	
In the matter of: Maria Guadalupe Maynes	
Presenter: Francswai Grayson

5) Proposed Order: Stipulation and Consent Order		
Docket No.: SD-20-0011
In the matter of: Patrick John Hutton		
Presenter: Francswai Grayson

                    
Notice of Special Accommodations: In compliance with the Americans with Disabilities Act, individuals needing special accommodations (including auxiliary communicative aids and services) during this meeting should notify Sabrina Afridi, ADA Coordinator, Division of Securities, PO Box 146760, 160 East 300 South, Salt Lake City, Utah 84114-6760, Phone 801-530-6600, at least three (3) working days prior to the meeting.
Notice of Electronic or telephone participation: This meeting will be held electronically via Google Meet.
Other information:
Contact Information: Sabrina Afridi
(801)530-6436
safridi@utah.gov
Posted on: January 29, 2020 12:28 PM
Last edited on: August 10, 2020 02:10 PM

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