DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Typesort ascending Name Effective Date Title
Regulation S-2016-01 (Rev.) 05/15/2017 Vermont Securities Regulations
Regulation S-2008-01 01/01/2009 Filing Rule for Securities Offered under Regulation D, Rule 506
Regulation S-2015-01 07/11/2015 Vermont Small Business Offerings
Regulation S-2011-03 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Order Docket No. 12-022-S 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 14-002-S 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-001-S 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-046-S 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 06-43-S 07/07/2006 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. 14-016-S 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 10-052-S 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 05-059-S 11/17/2005 Axiom Capital Management
Order Docket No. 10-030-S 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 10-038-S 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 14-022-S 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 10-072-S 08/25/2010 Adam Sclafani and John Thomas Financial
Order Docket No. 14-024-S 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 10-032-S 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 04-010-S 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
Order Docket No. 14-023-S 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 10-031-S 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 13-001-S 03/08/2013 ProEquities, Inc.
Order Docket No. 10-002-S 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 14-089-S 12/01/2014 UBS Financial Services Inc.

Pages