DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Bulletin Securities Bulletin # 14-01-S Mon, 06/16/2014 Guidance on Preparing Offering Documents under VSBOE
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 Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 10-052-S Tue, 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 14-016-S Wed, 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 05-059-S Thu, 11/17/2005 Axiom Capital Management
Order Docket No. 10-038-S Fri, 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 10-072-S Wed, 08/25/2010 Adam Sclafani and John Thomas Financial
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 04-010-S Fri, 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
Order Docket No. 10-031-S Thu, 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 10-002-S Fri, 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities, Inc.
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order Docket No. 11-007-S Sat, 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 11-026-S Tue, 05/31/2011 Michael T. Williams

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