DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Type Name Effective Date Titlesort descending
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Superior Court Docket No. 881-11-09 Wed, 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
Order Docket No. 15-006-S Tue, 07/07/2015 Michael J. Bombardier
Order Docket No. 11-026-S Tue, 05/31/2011 Michael T. Williams
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 12-022-S Wed, 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 14-092-S Wed, 12/03/2014 Oristano Capital, LLC
Order Docket No. 10-038-S Fri, 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities, Inc.
Order Docket No. 16-026-S Wed, 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 16-001-S Fri, 07/01/2016 Repealing in part and retaining in part Order 06-23-S Applying Provisions of certain Regulations, Bulletins, Policy Statements and orders in effect Prior to July 1, 2006 to the Vermont Uniform Securities Act
Order Docket No. 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Regulation S-2011-03 Thu, 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Bulletin Securities Bulletin S-2015-02 Wed, 10/21/2015 Sales or Investment Advice Related to Securities Products by Insurance Producers
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 10-031-S Thu, 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware