DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Date Titlesort descending
Order 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 # 1 Wed, 06/15/2011 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# 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
Order 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No: 13-001-S Fri, 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC

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