DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Date Title
Regulation B-2014-01 Tue, 07/01/2014 Record Retention: Financial Institutions, Credit Unions, Independent Trust Companies & Licensees
Bulletin Securities Bulletin # 14-01-S Mon, 06/16/2014 Guidance on Preparing Offering Documents under VSBOE
Regulation S-2014-1 Mon, 06/16/2014 Rule Providing for the Vermont Small Business Offering Exemption
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 13-038-B Thu, 05/22/2014 Plaza Home Mortgage, Inc.
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 13-056-I Wed, 04/16/2014 Redonda Lawrence Russell
Bulletin Insurance Bulletin # 181 Tue, 04/15/2014 Student Health Insurance Plans
Order Docket No. 14-004-B Thu, 04/03/2014 United Capital Business Lending, Inc.
Order Docket No. 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 Docket No. 14-016-S Wed, 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 14-013-S Thu, 02/13/2014 Barry F. Cassese, Barry Cassese Portfolio Consulting, Sean E. Romano, and C&R Portfolio Consulting, Inc.
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 Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-033-B Fri, 01/10/2014 Lisa Marie Fendelet
Order Docket No. 13-058-B Thu, 12/19/2013 Ocwen Financial Corp. and Ocwen Loan Servicing, LLC.
Order Docket No. 13-053-I Mon, 12/16/2013 Dorothy Torro-Claflin
Order Docket No. 13-055-I Mon, 12/16/2013 John J. Brendel, Jr.
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

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