DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Type Name Effective Datesort descending Title
Order Docket No. 12-022-S Wed, 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities, Inc.
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 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 Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 14-016-S Wed, 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Bulletin Securities Bulletin # 14-01-S Mon, 06/16/2014 Guidance on Preparing Offering Documents under VSBOE
Regulation S-2014-1 Mon, 06/16/2014 Rule Providing for the Vermont Small Business Offering Exemption
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption

Pages