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Entity: Department of Commerce

Body: Securities Commission

Notice Title:	Utah Securities Commission
Notice Tags:	Securities
Meeting Location:	160 East 300 South Salt Lake City 84111
Event Date & Time:	October 27, 2011 October 27, 2011 09:00 AM - October 27, 2011 12:00 PM
Description/Agenda:	Utah Securities Commission October 27, 2011 Room 451 – 9:00 am Agenda Welcome/Call to Order Erik Christiansen. 1. Approval of September 22, 2011 Minutes Erik Christiansen 2. Director’s Report Keith Woodwell a. Update on Budget & Education & Training Fund b. Investor Education Update c. Update on Division Staffing 3. Section Reports a. Compliance & Licensing Section Dave Hermansen b. Corporate Finance Section Benjamin Johnson c. Enforcement Section Michael Hines 4. Education and Training Fund Report Benjamin Johnson a. Grant Request – Junior Achievement of Utah, Inc. Keith Woodwell b. Transfer of Stock Market Game Grant to Utah Keith Woodwell JumpStart Coalition 5. Consideration and Approval of Proposed Orders a. Brian Y. Horne Dave Hermansen Deseret Financial Services, Inc. Horne Financial, Inc. b. Ryan Paul Miller Dave Hermansen c. Deutsche Bank Securities Inc. Dave Hermansen d. Raymond James & Associates, Inc. Dave Hermansen Raymond James Financial Services, Inc. e. Darin Floyd Beal Dave Hermansen f. Ross Morrell Bowen Dave Hermansen g. Richard Earl Haskell Dave Hermansen h. Race, LLC. Tom Brady Randy J. Bradley i. Windsor Capital, LC. Tom Brady Nathan Welch j. Michael L. Bloxham Tom Brady k. Keith Richard Anderson Tom Brady l. 360 Wireless Solutions, Inc. & Tom Brady Evan Douglas Yazzie m. Troy B. Kotter dba Anomaly Group, Inc. Tom Brady n. Investor Strategy Consulting, Inc. Tom Brady Robert Wade Tarrant o. Centuries Financial Group & Tom Brady David Goodwin Frank p. Asset Development Group, LLC Michael Hines Scott R. Lindsay q. Boyd Kelly Nielsen Tom Brady r. Mascot Financial, L.C. Tom Brady Samuel Duane Aston Scot Stobb s. JLT Investment Group, LLC Tom Brady Joe L. Thomas t. JPMorgan Chase & Co. Dave Hermansen u. Wells Fargo Investments, LLC Dave Hermansen 6. Set Next Commission Meeting Dates Erik Christiansen
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 Julie Price, ADA Coordinator, Division of Securities, P O Box 146760, 160 E 300 S, Salt Lake City, Utah 84114-6711, Phone (801) 530-6436, at least three working days prior to the meeting.
Notice of Electronic or telephone participation:	N/A
Other information:
Contact Information:	Dorian Ashton (801)530-6436 dashton1@utah.gov
Posted on:	October 26, 2011 07:43 AM
Last edited on:	October 26, 2011 07:43 AM

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