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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 20-037-I Wed, 01/27/2021 Northwestern Mutual Life Insurance Company Stipulation and Consent
Order Docket No. 23-21-I Tue, 12/12/2023 Order Approving Conversion of Granite Mutual Insurance Co to a Stock Insurance Co
Order Docket No. 19-069-S Fri, 03/06/2020 Account Management, DeRoetth Stipulation and Consent
Order Docket No. 19-068-I Wed, 03/04/2020 Rebecca Mrozinski Default Judgment and Order
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgment and Order
Order Docket No. 24-001-S Mon, 01/22/2024 Consent Order in Re TradeStation Crypto, Inc.
Order Docket No. 24-002-S Mon, 01/22/2024 Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al
Order Docket No. 20-006-I Wed, 03/18/2020 Joany Inc Default Judgment and Order
Order Docket No. 20-017-S Wed, 03/18/2020 Benchmark Company Stipulation and Consent
Order Docket No. 21-050-S Thu, 12/14/2023 Judgment and Order in Re Colomont, Inc. and Christopher Santee
Order Docket No. 19-059-B Thu, 03/05/2020 North American Financial Management Stipulation and Consent
Order Docket No. 20-007-I Tue, 04/14/2020 Kendra Aleman Default Judgment and Order
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 19-043-I Fri, 03/06/2020 Kimberley Zem Stipulation and Consent Order
Order Docket No. 20-005-S Thu, 04/30/2020 Merrill Lynch Stipulation and Consent
Order Docket No. 20-014-I Tue, 04/28/2020 Zahirah Laila Martinez Default Judgment and Order
Order Docket No. 20-20-I Wed, 05/20/2020 Commerce Insurance Stipulation and Consent Order
Order Docket No. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgment and Order
Order Docket No. 19-066-I Wed, 03/04/2020 Jaymore Hicks Default Judgment and Order
Order Docket No. 19-63-I Wed, 03/04/2020 Tori Liporace Default Judgment and Order
Order Docket No. 20-001-I Wed, 03/04/2020 Abdulrasheed Berte Default Judgment and Order
Order Docket No. 19-064-I Wed, 03/04/2020 Deborah Miner Default Judgment and Order
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgment
Order Docket No. 19-067-I Wed, 03/04/2020 Serena Morris Default Judgment and Order