DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Typesort descending Name Effective Date Title
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware
Order Docket# 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order 12-022-S Wed, 02/13/2013 Ronald Berman and AXIOM Capital Management 2
Order 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
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.
Regulation S-2011-03 Thu, 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Regulation Reg-S-2008-01 Thu, 01/01/2009 Filing Rule for Securities Offered under Regulation D, Rule 506

Pages