DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Datesort ascending Title
Order 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Regulation B-06-1 Tue, 07/01/2014 Regulation B-06-1: Pertaining to State-Chartered Credit Unions
Regulation B-2014-01 Tue, 07/01/2014 Record Retention: Financial Institutions, Credit Unions, Independent Trust Companies & Licensees
Regulation S-2014-1 Mon, 06/16/2014 Rule Providing for the Vermont Small Business Offering Exemption
Bulletin 14-01-S Mon, 06/16/2014 Guidance on Preparing Offering Documents under VSBOE
Order Docket No.14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Bulletin Insurance Bulletin # 181 Tue, 04/15/2014 Student Health Insurance Plans
Order Docket 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 13-030-I Fri, 03/07/2014 Suspension of resident insurance producer licenses for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order No: 14-016-S Wed, 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket# 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 13-043-I Fri, 01/31/2014 Direct enrollment in VHC modified
Bulletin C-2014-01 Mon, 01/27/2014 Guidance for Special Purpose Financial Insurers
Order 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Bulletin Banking bulletin #40 Mon, 12/09/2013 Home Loan Escrow update
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Bulletin Banking bulletin #42 Wed, 11/27/2013 MLO Reasonable Commuting Distance
Bulletin Banking Bulletin #39 Wed, 11/27/2013 Withdraws All Unnecessary Banking Bulletins
Bulletin Banking bulletin #41 Wed, 11/27/2013 Mobile Home Disclosure
Order Docket# 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 13-043-I Thu, 11/07/2013 Order to smooth transition to VHC
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware

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