DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Bulletin Securities Bulletin # 15-01-S 07/20/2015 Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings (“VSBO”)
Bulletin Securities Bulletin S-2015-02 10/21/2015 Sales or Investment Advice Related to Securities Products by Insurance Producers
Order Docket No. 11-007-S 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 15-006-S 07/07/2015 Michael J. Bombardier
Order Docket No. 11-008-S 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 11-026-S 05/31/2011 Michael T. Williams
Order Docket No. 13-049-S 09/28/2015 Tucker Financial Services, Inc and Daniel Burgess
Order Docket No. 12-003-S 01/26/2012 Barry F. Cassese and K.C. Ward Financial
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. 11-007-S 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 12-037-S 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Docket No. 16-026-S 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 13-001-S 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 13-001-S 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 16-012-S 09/13/2016 Alan F. Dauphin
Order Docket No. 13-025-S 09/20/2013 UBS Financial Services
Order Docket No. 16-027-S 09/26/2016 Gregory Lambesis
Order Docket No. 13-028-S 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 16-020-S 09/01/2016 Aletheia Securities, Inc.
Order Docket No. 13-022-S 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 16-022-S 09/01/2016 EKN Financial Services, Inc.
Order Docket No. 13-047-S 11/15/2013 State Farm Mutual Funds
Order Docket No. 16-023-S 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 13-016-S 12/05/2013 Settlement Against RBC Capital Markets

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