Entity: Department of Commerce
Body: Securities Commission
| Subject: | Securities |
| Notice Title: | Securities Commission Meeting |
| Meeting Location: | 160 East 300 South Second Floor, Giani Room Salt Lake City UT 84111 |
| Event Date & Time: |
January 13, 2022 January 13, 2022 09:00 AM - January 13, 2022 10:00 AM |
| Description/Agenda: |
COMMENCEMENT
9:00 AM
1. Approval of October 14,2021 meeting minutes
DIRECTOR'S REPORT - Jason E. Sterzer
SECTION REPORTS
- Licensing and Registration - Bryan Cowley
- Compliance - Ken Barton
- Enforcement - Dave Hermansen
- Investor Education - Karen McMullin
2. Education Fund Expenditure Request -Aaron Burgoyne
CONSIDERATION AND APPROVAL OF PROPOSED ORDER(S)
3. Stipulation and Consent Order
Docket Number
SD-19-0037 STIS HOLDINGS LLC
SD-19-0038 NOVARE LLC
SD-19-0039 ST ROCH LLC
SD-19-0040 LANCE M. KING
4.Stipulation and Consent Order
SD-19-0041 THOMAS M. SWENSEN
5. Addendum to Stipulation Order
SD-21-0005 CLARK CAMPBELL
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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 Zoe Gomez, ADA Coordinator, Division of Securities, PO Box 146760, 160 East 300 South, Salt Lake City, Utah 84114-6760, Phone 801-530-6436, at least three (3) working days prior to the meeting. |
| Notice of Electronic or telephone participation: | N/A |
| Other information: | This will be an in-person meeting that's open to the public. It will be on floor 2 in the the Giani Hearing Room. |
| Contact Information: |
Ashlee Buchholz (801)530-6436 abuchholz@utah.gov |
| Posted on: | January 03, 2022 10:19 AM |
| Last edited on: | May 26, 2022 02:25 PM |