DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 11-103-I 03/23/2012 Sean Deandre Dade
Order Docket No. 10-080-S 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order Docket No. 12-020-B 10/05/2012 Vermont State Employees Credit Union
Order Docket No. 13-022-S 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 14-060-I 09/03/2014 Bankers Life and Casualty Company
Order Docket No. 12-043-I 01/02/2013 Mark Patrick Santos
Order Docket No. 11-065-I 12/12/2011 Jeremy M. Fairbanks
Order Docket No. 12-021-B 10/05/2012 Vermont State Employees Credit Union—Settlement Agreement
Order Docket No. 13-043-I 11/07/2013 Order to smooth transition to VHC
Order Docket No. 13-001-S 03/08/2013 ProEquities, Inc.
Order Docket No. 13-039-I 10/02/2014 Robert Antonacci
Order Docket No. 11-007-S 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 12-058-I 01/30/2013 Barbara Shay
Order Docket No. 17-017-B 06/05/2017 State Regulatory Registry LLC and Nationwide Multistate Licensing System
Order Docket No. 11-066-I 11/16/2011 Margaret L. Ferguson
Order Docket No. 10-0098-H 10/04/2010 MVP Health Insurance
Order Docket No. 11-102-B 11/21/2011 SunTrust Mortgage, Inc.
Order Docket No. 13-047-S 11/15/2013 State Farm Mutual Funds
Order Docket No. 14-038-I 09/08/2014 William C. Mount
Order Docket No. 15-008-I 08/05/2015 Alton L. Willard
Order Docket No. 12-049-I 01/18/2013 Joan Louise Warner
Order Docket No. 06-43-S 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. 11-068-I 01/04/2012 Mitchell R. Fleischer
Order Docket No. 10-020-H 10/07/2010 Reliance Standard Life Insurance Company
Order Docket No. 11-025-B 05/27/2011 Mortgage Access Corp. d/b/a Weichert Financial Services

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