DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Type Name Effective Date Titlesort ascending
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 04-050-S Thu, 11/04/2004 Wall Street Advisor Services, LLC
Regulation S-2015-01 Sat, 07/11/2015 Vermont Small Business Offerings
Regulation Regulation S-2016-01 Fri, 07/01/2016 Vermont Securities Regulations
Order Docket No. 13-001-S Fri, 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services Inc.
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 13-049-S Mon, 09/28/2015 Tucker Financial Services, Inc and Daniel Burgess
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 10-031-S Thu, 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
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
Bulletin Securities Bulletin S-2015-02 Wed, 10/21/2015 Sales or Investment Advice Related to Securities Products by Insurance Producers
Regulation S-2011-03 Thu, 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
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. 13-001-S Fri, 03/08/2013 ProEquities, Inc.

Pages