DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Datesort descending Title
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Bulletin C-2014-01 Mon, 01/27/2014 Guidance for Special Purpose Financial Insurers
Order Docket No. 13-043-I Fri, 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 14-016-S Wed, 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
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. 11-008-S Wed, 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Bulletin Insurance Bulletin # 181 Tue, 04/15/2014 Student Health Insurance Plans
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Regulation S-2014-1 Mon, 06/16/2014 Rule Providing for the Vermont Small Business Offering Exemption
Bulletin Securities Bulletin # 14-01-S Mon, 06/16/2014 Guidance on Preparing Offering Documents under VSBOE
Regulation B-06-1 Tue, 07/01/2014 Regulation B-06-1: Pertaining to State-Chartered Credit Unions
Regulation B-2014-01 Tue, 07/01/2014 Record Retention: Financial Institutions, Credit Unions, Independent Trust Companies & Licensees
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 14-036-I Tue, 07/29/2014 Order for Summary Suspension of the Insurance License of Christopher R. Corley
Order Docket No. 14-060-I Wed, 09/03/2014 Bankers Life and Casualty Company
Order Docket No. 14-038-I Mon, 09/08/2014 William C. Mount
Order Docket No. 14-026-I Tue, 09/09/2014 Deborah L. Lefaivre
Order Docket No. 14-039-I Tue, 09/09/2014 Jillian E. Wood
Regulation B-2014-03 Thu, 09/25/2014 Non Discrimination in Financial Services
Regulation B-2014-02 Wed, 10/01/2014 Mortgage Brokers
Regulation Reg-93-02(Rev.) Thu, 10/16/2014 Defining Standards and Commissioner’s Authority for Companies Deemed to be in Hazardous Financial Condition

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