DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Namesort ascending Effective Date Title
Order Superior Court Docket No. 881-11-09 Wed, 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
Bulletin Securities Bulletin S-2015-02 Wed, 10/21/2015 Sales or Investment Advice Related to Securities Products by Insurance Producers
Bulletin Securities Bulletin # 15-01-S Mon, 07/20/2015 Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings (“VSBO”)
Regulation S-2015-01 Sat, 07/11/2015 Vermont Small Business Offerings
Regulation S-2011-03 Thu, 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Regulation Regulation S-2016-01 Fri, 07/01/2016 Vermont Securities Regulations
Regulation Reg-S-2008-01 Thu, 01/01/2009 Filing Rule for Securities Offered under Regulation D, Rule 506
Order Docket No. 16-027-S Mon, 09/26/2016 Gregory Lambesis
Order Docket No. 16-026-S Wed, 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 16-025-S Tue, 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 16-023-S Thu, 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 16-022-S Thu, 09/01/2016 EKN Financial Services, Inc.
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc.
Order Docket No. 16-012-S Tue, 09/13/2016 Alan F. Dauphin
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. 15-006-S Tue, 07/07/2015 Michael J. Bombardier
Order Docket No. 14-092-S Wed, 12/03/2014 Oristano Capital, LLC
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services Inc.
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 14-016-S Wed, 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
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. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments