DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Leave blank for all. Otherwise, the first selected term will be the default instead of "Any".
Typesort descending Name Effective Date Title
Order Docket No. 06-43-S Fri, 07/07/2006 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. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 14-060-I Wed, 09/03/2014 Bankers Life and Casualty Company
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 12-043-I Wed, 01/02/2013 Mark Patrick Santos
Order Docket No. 11-103-I Fri, 03/23/2012 Sean Deandre Dade
Order Docket No. 12-021-B Fri, 10/05/2012 Vermont State Employees Credit Union—Settlement Agreement
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities, Inc.
Order Docket No. 13-039-I Thu, 10/02/2014 Robert Antonacci
Order Docket No. 12-002-I Thu, 09/26/2013 Nation Safe Drivers of Florida
Order Docket No. 12-058-I Wed, 01/30/2013 Barbara Shay
Order Docket No. 11-065-I Mon, 12/12/2011 Jeremy M. Fairbanks
Order Docket No. 11-066-I Wed, 11/16/2011 Margaret L. Ferguson
Order Docket No. 11-102-B Mon, 11/21/2011 SunTrust Mortgage, Inc.
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order Docket No. 14-038-I Mon, 09/08/2014 William C. Mount
Order Docket No. 15-008-I Wed, 08/05/2015 Alton L. Willard
Order Docket No. 12-049-I Fri, 01/18/2013 Joan Louise Warner
Order Docket No. 12-023-I Fri, 07/20/2012 Bankers Life and Casualty Company
Order Docket No. 11-068-I Wed, 01/04/2012 Mitchell R. Fleischer
Order Docket No. 11-025-B Fri, 05/27/2011 Mortgage Access Corp. d/b/a Weichert Financial Services
Order Docket No. 14-039-I Tue, 09/09/2014 Jillian E. Wood
Order Docket No. 15-030-I Tue, 12/29/2015 Timothy J. Clain
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance Co. of Wisconsin
Order Docket No. 12-048-I Fri, 01/18/2013 Crystal F. Welle

Pages