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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Sort ascending Name Effective Date Title
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 20-015-I Tue, 06/09/2020 Teon Sumpter Default Judgment and Order
Order Docket No. 06-043-S Fri, 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements, and Orders to the Vermont Securities Act
Order Docket No. 19-039-I Mon, 08/12/2019 Danjack Enterprises Stipulation and Consent Order
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Order Docket No. 19-022-S Wed, 06/05/2019 Gallatin Capital LLC Stipulation and Consent Order
Order Docket No. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Order Docket No. 19-035-S Mon, 09/16/2019 LiquidPiston, Inc. Stipulation and Consent Order
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 19-050-I Thu, 12/19/2019 Lorie Jean Zylicz Default Judgment and Order
Order Docket No. 19-044-I Mon, 10/07/2019 Permanent General Assurance Corporation Stipulation and Consent
Order Docket No. 19-016-I Thu, 10/17/2019 Jason Torres Default Judgment and Order
Order Docket No. 18-054-I Tue, 10/15/2019 Matthew F Gains Default Judgment and Order
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 19-049-I Wed, 11/20/2019 Louis Chames, Trupanion Managers USA, Inc., and American Pet Insurance Company
Order Docket No. 19-040-I Thu, 11/21/2019 Companion Life Insurance Company Stipulation and Consent
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
Order Docket No. 20-019-I Thu, 05/28/2020 Homesite Insurance Company Stipulation and Consent
Order Docket No. 19-051-I Mon, 12/16/2019 Anthony John Panza Stipulation and Consent
Order Docket No. 16-042-I Fri, 12/09/2016 MVP Health Plan Stipulation and Consent