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. 10-072-S Wed, 08/25/2010 Adam Sclafani and John Thomas Financial
Order Docket No. 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 04-010-S Fri, 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 10-031-S Thu, 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 10-002-S Fri, 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities, Inc.
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services Inc.
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order Docket No. 14-092-S Wed, 12/03/2014 Oristano Capital, LLC
Order Docket No. 11-007-S Sat, 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 14-013-S Thu, 02/13/2014 Barry F. Cassese, Barry Cassese Portfolio Consulting, Sean E. Romano, and C&R Portfolio Consulting, Inc.
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Superior Court Docket No. 881-11-09 Wed, 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
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
Regulation S-2014-1 Mon, 06/16/2014 Rule Providing for the Vermont Small Business Offering Exemption

Pages