DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 09-084-B Wed, 07/08/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding Effective Date Of Deletion Of Nonprofit Institutions Of Higher Education Exemption
Order Docket No. 09-094-1 Wed, 02/10/2010 2Morrow Studio/Build, Inc.
Order Docket No. 10-102-H Mon, 11/22/2010 Regence Bluecross Blueshield of Utah
Order Docket No. 11-023-I Mon, 12/10/2012 Hartford Stipulation and Consent Order
Order Docket No. 09-097-B Thu, 07/23/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding Effective Date Of Deletion Of Licensed Lender Statute Exemption For Nonprofit 501(c) Organizations That Conduct Their Lending Activities Through Revolving Loan Funds
Order Docket No. 09-084-B Mon, 09/28/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding: (A) Modification Of Transition Deadline; (B) Submission Of Credit Reports And Credit Scores; And (C) The Date The Department Will Begin Accepting Mortgage Loan ...
Order Docket No. 10-040-I Sat, 07/03/2010 Peter R. Becker
Order Docket No: 13-001-S Fri, 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 11-07-S Sat, 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 10-052-S Tue, 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 12-012-B Fri, 05/11/2012 Transition Period For Financial Advisors To Obtain a Mortgage Loan Originator License
Order Docket No. 09-074-H Mon, 03/21/2011 Southwestern Vermont Medical Center Fiscal Year 2009 Budget Performance
Order 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 10-051-I Fri, 07/23/2010 Monumental Life Insurance Company
Order Order Establishing Tier Rate Structure and Multipliers Thu, 03/14/2013 Docket No. 13-002-I
Order Docket No. 10-057-I Mon, 07/19/2010 Karianne Scott
Order Docket No. 11-097-I Mon, 01/30/2012 United Healthcare
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC
Order 12-031-I Wed, 02/27/2013 Horace Mann Insurance Co.
Order Ord-06-43-S(all exhibits) Fri, 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements and Orders in Effect Prior to July 1, 2006, to the Vermont Uniform Securities Act.
Order Docket No. 10-038-S Fri, 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 10-072-S Wed, 08/25/2010 Adam Sclafani and John Thomas Financial
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 11-026-S Tue, 05/31/2011 Michael T. Williams

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