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. 16-012-S 09/13/2016 Alan F. Dauphin
Order Docket No. 13-001-S 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 16-027-S 09/26/2016 Gregory Lambesis
Order Docket No. 13-025-S 09/20/2013 UBS Financial Services
Order Docket No. 16-020-S 09/01/2016 Aletheia Securities, Inc.
Order Docket No. 13-028-S 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 16-022-S 09/01/2016 EKN Financial Services, Inc.
Order Docket No. 13-022-S 11/07/2013 Surety Services LLC of Delaware
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
Order Docket No. 16-021-S 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 13-046-S 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 17-008-S 04/03/2017 Stanley Fishkin: Crow Hill Capital, Ltd.; Crow Hill Ventures, Ltd.
Order Docket No. 12-022-S 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 17-011-S 04/28/2017 John Bodnar and International Assets Advisory, LLC; International Assets Investment Management, LLC
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. 17-018-S 07/06/2017 Rodney Winthrop Thompson and Winthrop Investment Mgmt. Co.
Order Docket No. 14-001-S 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 17-022-S 08/10/2017 People’s Securities, Inc.
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.

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