DFR Regulations, Orders, Bulletins & Market Conduct Exams

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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. 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. 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
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.

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