Entity: Department of Commerce
Body: Securities Commission
| Subject: | Securities |
| Notice Title: | Securities Commission Meeting |
| Meeting Location: | 160 E 300 S Fl 2 Salt Lake City UT 84111 |
| Event Date & Time: |
January 7, 2021 January 7, 2021 09:00 AM - January 7, 2021 11:00 AM |
| Description/Agenda: |
UTAH DIVISION OF SECURITIES
SECURITIES COMMISSION MEETING | AGENDA | JANUARY 7, 2021
ELECTRONIC MEETING | 9:00 AM-12:00 PM
COMMENCEMENT AND ROLL CALL
1) Approval of October 7, 2020 Meeting Minutes
DIRECTOR'S REPORT
Presenter: Jason Sterzer, Acting Director
SECTION REPORTS
Compliance
Presenter: Ken Barton
Enforcement
Presenter: Dave Hermansen
Investor Education
Presenter: Karen McMullin
Licensing and Registration
Presenter: Bryan Cowley
2) Education Fund Expenditure Request
Presenter: Bryan Cowley
CONSIDERATION AND APPROVAL OF PROPOSED ORDERS
3) Proposed Order: Stipulation and Consent Order
Docket No: SD-20-0030
In the matter of: Brandon C. Stimpson
Presenter: Chip Lyons
4) Proposed Order: Stipulation and Consent Order
Docket Nos: SD-20-0036 and SD-20-0037
In the matter of: Allan C. Millet and PC Capital LP Francswai Grayson
END
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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 without an anchor location. Members of the public who would like to watch the electronic meeting: please copy and paste the 'live stream meeting link' (provided below) in your web browsers address bar. LIVE STREAM MEETING LINK: https://stream.meet.google.com/stream/6f15a15f-4b15-4a7e-b4c6-5af08ae99869 |
| Other information: | |
| Contact Information: |
Ashlee Buchholz (801)530-6436 abuchholz@utah.gov |
| Posted on: | October 26, 2020 02:40 PM |
| Last edited on: | February 09, 2021 09:11 AM |