DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Type Name Effective Datesort ascending Title
Order Docket No. 17-018-S 07/06/2017 Rodney Winthrop Thompson and Winthrop Investment Mgmt. Co.
Regulation S-2016-01 (Rev.) 05/15/2017 Vermont Securities Regulations
Order Docket No. 17-011-S 04/28/2017 John Bodnar and International Assets Advisory, LLC; International Assets Investment Management, LLC
Order Docket No. 17-008-S 04/03/2017 Stanley Fishkin: Crow Hill Capital, Ltd.; Crow Hill Ventures, Ltd.
Order Docket No. 16-027-S 09/26/2016 Gregory Lambesis
Order Docket No. 16-012-S 09/13/2016 Alan F. Dauphin
Order Docket No. 16-020-S 09/01/2016 Aletheia Securities, Inc.
Order Docket No. 16-022-S 09/01/2016 EKN Financial Services, Inc.
Order Docket No. 16-023-S 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 16-021-S 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 16-001-S 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. 16-026-S 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
Bulletin Securities Bulletin S-2015-02 10/21/2015 Sales or Investment Advice Related to Securities Products by Insurance Producers
Order Docket No. 13-049-S 09/28/2015 Tucker Financial Services, Inc and Daniel Burgess
Bulletin Securities Bulletin 15-01-S 07/20/2015 Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings (“VSBO”)
Regulation S-2015-01 07/11/2015 Vermont Small Business Offerings
Order Docket No. 15-006-S 07/07/2015 Michael J. Bombardier
Order Docket No. 14-092-S 12/03/2014 Oristano Capital, LLC
Order Docket No. 14-089-S 12/01/2014 UBS Financial Services Inc.
Order Docket No. 14-023-S 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 14-024-S 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 14-022-S 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 14-016-S 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies

Pages