Securities Commission

The Division of Securities is advised by an independent commission comprised of five Utah citizens. Each member is appointed by the governor and serves a four year term. Two members must come from the securities brokerage community, one member must be a member of the securities section of the Utah State Bar, one member must come from a corporation which is not a reporting company, and one member must come from the public at large who has no active participation in the securities business. Section 61-1-18.5 is the statutory authority for the Securities Commission. The following persons are members of the Securities Commission:

Lyndon L. Ricks

Corporate Officer

Michael Best & Friedrich LLP
170 South Main Street, Suite 1000
Salt Lake City, Utah 84101

Lyle White

Licensee

Fidelity Investments
3055 South 1800 East
Salt Lake City, UT 84106

Peggy Hunt

Securities Attorney

Greenberg Traurig, LLP
222 South Main Street, 5th Floor
Salt Lake City, Utah 84101

Gary Cornia

Public

Former Dean, Marriott School of Management
730 TNRB
Provo, UT 84602

Brent A. Cochran

Licensee

The Norden Group
299 South Main Street, Suite 1300
Salt Lake City, Utah 84111

The Securities Commission meets at least quarterly or as needed to conduct business. The scheduled meetings in 2021 are:

2022 Commission Meetings

  • January 13, 2022
  • April 28, 2022
  • August 4, 2022
  • October 13, 2022

Past Commission Meetings