Entity: Department of Commerce
Body: Securities Commission
| Subject: | Securities |
| Notice Title: | Securities Commission Meeting |
| Meeting Location: | 160 East 300 South Salt Lake City UT 84111 |
| Event Date & Time: |
August 6, 2020 August 6, 2020 08:00 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
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| 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: |
Ashlee Buchholz (801)530-6436 abuchholz@utah.gov |
| Posted on: | January 29, 2020 12:28 PM |
| Last edited on: | January 12, 2021 03:19 PM |