DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 13-041-I 11/18/2013 Travis C. Shine
Order Docket No. 16-023-S 09/01/2016 KBR Capital Markets, LLC
Order Docket No. 13-026-B 09/09/2013 NetSpend Corporation
Order Docket No. 16-001-S 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. 11-021-B 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. 10-002-S 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 12-039-I 02/05/2013 Christie Glenn
Order Docket No. 12-025-I 08/28/2012 Maria G. Gonzalez
Order Docket No. 13-028-S 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 17-014-B 07/18/2017 DOXO, Inc.
Order Docket No. 13-053-I 12/16/2013 Dorothy Torro-Claflin
Order Docket No. 16-021-S 09/01/2016 Obsidian Financial Group, LLC
Order Docket No. 13-058-B 12/19/2013 Ocwen Financial Corp. and Ocwen Loan Servicing, LLC.
Order Docket No. 16-026-S 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 10-003-S 01/15/2010 Burton J. Steen
Order Docket No. 12-005-I 04/20/2012 Roy Allen Gray
Order Docket No. 12-002-I 09/26/2013 Nation Safe Drivers of Florida
Order Docket No. 17-016-I 08/01/2017 Liberty Mutual Companies
Order Docket No. 13-004-I 04/19/2013 Triad Guaranty Insurance Corporation
Order Docket No. 16-035-I 11/02/2016 Brittany Ouellette
Order Docket No. 13-024-B 07/31/2013 Amerisave Mortgage Corporation
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 14-064-I 08/27/2015 Progressive Insurance Companies
Order Docket No. 10-028-S 03/11/2010 Lisa M. Graves
Order Docket No. 12-042-I 01/11/2013 Robin Louella Hixon

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