DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Namesort descending Effective Date Title
Order Docket No. 16-023-S 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 16-026-S 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 16-027-S 09/26/2016 Gregory Lambesis
Order Docket No. 17-008-S 04/03/2017 Stanley Fishkin: Crow Hill Capital, Ltd.; Crow Hill Ventures, Ltd.
Order Docket No. 17-011-S 04/28/2017 John Bodnar and International Assets Advisory, LLC; International Assets Investment Management, LLC
Order Docket No. 17-018-S 07/06/2017 Rodney Winthrop Thompson and Winthrop Investment Mgmt. Co.
Order Docket No. 17-022-S 08/10/2017 People’s Securities, Inc.
Regulation S-2008-01 01/01/2009 Filing Rule for Securities Offered under Regulation D, Rule 506
Regulation S-2011-03 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Regulation S-2015-01 07/11/2015 Vermont Small Business Offerings
Regulation S-2016-01 (Rev.) 05/15/2017 Vermont Securities Regulations
Bulletin Securities Bulletin 15-01-S 07/20/2015 Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings (“VSBO”)
Bulletin Securities Bulletin S-2015-02 10/21/2015 Sales or Investment Advice Related to Securities Products by Insurance Producers
Order Superior Court Docket No. 881-11-09 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order

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