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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title Sort ascending
Order Docket No. 16-023-S Wed, 09/14/2016 KBR Capital Markets - Default Judgment and Order
Order Docket No. 19-061-I Wed, 03/04/2020 Kathryn Rodriguez Default Judgment and Order
Order Docket No. 21-050-S Thu, 12/14/2023 Judgment and Order in Re Colomont, Inc. and Christopher Santee
Order Docket No. 22-023-I Tue, 11/15/2022 Jones Default Judgment and Order
Bulletin Insurance Bulletin #198 Mon, 01/08/2018 Joint Guidance on Providing Advice for Securities and Insurance Products
Bulletin Securities Bulletin S-2018-01 Mon, 01/08/2018 Joint Guidance on Providing Advice for Securities and Insurance Products
Order Docket No. 19-046-I Tue, 11/26/2019 John Hancock Life Insurance Company Stipulation and Consent
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
Order Docket No. 20-039-I Tue, 03/23/2021 Joel Pitt Default Judgment and Order
Order Docket No. 20-006-I Wed, 03/18/2020 Joany Inc Default Judgment and Order
Order Docket No. 19-062-I Wed, 03/04/2020 Jessica Hendrickson Default Judgment and Order
Order Docket No. 21-041-I Tue, 01/11/2022 Jeffrey Brown Default Judgment and Order
Order Docket No. 19-066-I Wed, 03/04/2020 Jaymore Hicks Default Judgment and Order
Order Docket No. 19-016-I Thu, 10/17/2019 Jason Torres Default Judgment and Order
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 19-065-I Wed, 03/04/2020 Jasmyne Franking Default Order and Judgment
Order Docket No. 19-029-I and 19-029-S Fri, 12/20/2019 Jack Trainham and Retirement And College Financial Services of Vermont Stipulation and Consent
Regulation Reg. I-1993-03 Thu, 06/10/1993 Investments in Medium Grade and Lower Grade Obligations
Order Docket No. 18-027-B Wed, 06/13/2018 Internet Escrow Services, Inc.
Bulletin Insurance Bulletin #159 (Revised) Tue, 03/23/2021 Interest of Life Insurance Death Benefits (Revised)
Bulletin Insurance Bulletin #202 Fri, 11/02/2018 Interest of Insurance Claim Payments
Bulletin Health Bulletin #135 Mon, 11/05/2012 Integration of the Treatment for Mental Health, Substance Abuse, Physical Health
Bulletin Insurance Bulletin #166 Tue, 09/06/2011 Insurer Alert - Federal Disaster and Aftermath of Tropical Storm Irene in Vermont
Bulletin Insurance Bulletin #80 Sat, 09/13/1986 Insurance Trade Practices, Boycott, Coercion, and Intimidation
Regulation Reg. I-2019-03 Wed, 01/01/2020 Insurance Regulatory Sandbox; Innovation Waiver Regulation