DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Bulletin Securities Bulletin # 15-01-S Mon, 07/20/2015 Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings (“VSBO”)
Bulletin Securities Bulletin S-2015-02 Wed, 10/21/2015 Sales or Investment Advice Related to Securities Products by Insurance Producers
Order Docket No. 13-049-S Mon, 09/28/2015 Tucker Financial Services, Inc and Daniel Burgess
Order Docket No. 12-003-S Thu, 01/26/2012 Barry F. Cassese and K.C. Ward Financial
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. 11-007-S Wed, 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 12-037-S Mon, 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Docket No. 16-026-S Wed, 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 13-001-S Fri, 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 16-025-S Tue, 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 16-012-S Tue, 09/13/2016 Alan F. Dauphin
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 16-027-S Mon, 09/26/2016 Gregory Lambesis
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 12-022-S Wed, 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 06-43-S Fri, 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.

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