DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Date Titlesort ascending
Order Docket No. 10-030-S 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 04-050-S 11/04/2004 Wall Street Advisor Services, LLC
Regulation S-2015-01 07/11/2015 Vermont Small Business Offerings
Regulation Regulation S-2016-01 07/01/2016 Vermont Securities Regulations
Order Docket No. 13-001-S 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 10-029-S 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-089-S 12/01/2014 UBS Financial Services Inc.
Order Docket No. 13-025-S 09/20/2013 UBS Financial Services
Order Docket No. 13-049-S 09/28/2015 Tucker Financial Services, Inc and Daniel Burgess
Order Docket No. 14-002-S 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-022-S 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 10-031-S 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 13-047-S 11/15/2013 State Farm Mutual Funds
Order Docket No. 17-008-S 04/03/2017 Stanley Fishkin: Crow Hill Capital, Ltd.; Crow Hill Ventures, Ltd.
Order Docket No. 14-023-S 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 14-022-S 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 13-016-S 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-046-S 12/11/2013 Settlement against CCO Investment Corp
Bulletin Securities Bulletin S-2015-02 10/21/2015 Sales or Investment Advice Related to Securities Products by Insurance Producers
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 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 14-001-S 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 11-008-S 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker

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