DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 10-072-S Wed, 08/25/2010 Adam Sclafani and John Thomas Financial
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 12-041-I Wed, 05/22/2013 Application by the Proposed Vermont Health CO-OP For a Certificate of Public Good and Certificate of Authority to Commence Business as a Domestic Mutual Insurance Company
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 05-059-S Thu, 11/17/2005 Axiom Capital Management
Order Docket No. 11-026-S Tue, 05/31/2011 Michael T. Williams
Order Docket No. 04-010-S Fri, 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
Order Docket 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No: 13-003-I Tue, 05/28/2013 CIGNA (Connecticut General Life Insurance Co.) is ordered to pay a $7,500 penalty
Order Docket No. 10-031-S Thu, 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 10-002-S Fri, 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 11-021-B Fri, 05/06/2011 Order Regarding Effective Date of Sponsorship Requirement for Individual Mortgage Loan Originators that are Employees of Loan Servicing Companies
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Regulation Reg-I-2007-01 Thu, 05/01/2008 Business Entity Limited Lines Producer License for Credit Insurance
Regulation Reg-96-01(Bnk) Wed, 01/01/1997 Mortgage Brokers
Regulation Reg-H-2001-01 Sat, 11/17/2001 Privacy of Consumer Financial and Health Information
Regulation Reg-93-03(Ins) Thu, 06/03/1993 Investments in Medium and Low Grade Obligations
Regulation Reg-I-2007-02 Thu, 05/01/2008 Limited Lines Producer License for Credit Insurance
Regulation Reg-96-02(Bnk) Sun, 01/28/1996 Household Members as Eligible for Credit Union Membership
Regulation Reg-H-2002-03(IH) Mon, 11/24/2008 Standards for Safeguarding Customer Information
Regulation Reg-93-4 Thu, 06/03/1993 Uniform Claims Forms and Uniform Standards and Procedures for Processing
Regulation Reg-I-2007-03 Fri, 12/21/2007 Recognition of Preferred Mortality Tables for Use in Determining Minimum Reserve Liabilities

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