DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Name Effective Date Titlesort ascending
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Bulletin Insurance Bulletin #135 Thu, 12/13/2001 Social Host Endorsement for Homeowner Policies
Bulletin Insurance Bulletin #136 Thu, 12/13/2001 Social Host Endorsement for Automobile Liability Policies
Order Docket No. 15-021-B Wed, 07/15/2015 Sherman, Clay & Co
Order Docket No. 13-010-B Mon, 05/13/2013 Shelter Mortgage Company, LLC.
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Bulletin BISHCA Bulletin # 1 Fri, 12/21/2007 Security Breach Notification Guidance
Bulletin DFR Bulletin # 3 Tue, 08/06/2013 Security Breach Notice Act Bulletin
Order Docket No. 13-021-B Mon, 07/29/2013 Securities Finance Trust Company
Regulation Reg-99-01(Bnk) Wed, 12/01/1999 Secured Credit Cards
Order Docket No. 11-103-I Fri, 03/23/2012 Sean Deandre Dade
Bulletin Securities Bulletin # 1 Wed, 06/15/2011 Sales or Investment Advice Related to Securities Products by Insurance Producers
Bulletin Insurance Bulletin #161 Wed, 06/15/2011 Sales or Investment Advice Related to Securities Products by Insurance Producers
Bulletin Insurance Bulletin # 98 Wed, 06/27/1990 Sale of Credit Unemployment Insurance Through Banks Illegal
Bulletin Insurance Bulletin # 55 Sat, 10/01/1994 Safe Driver Insurance Plan Surcharges
Regulation Reg-95-03 Fri, 09/01/1995 Rules Governing Nonprofit Corportation Workers' Compensation Programs
Regulation Reg-90-01(Ins) Mon, 05/06/1991 Rules Governing Intermunicipal Insurance Agreements
Regulation Reg-99-2 Fri, 12/31/1999 Rules for Captive Insurance Companies Issuing Annuities
Regulation S-2014-1 Mon, 06/16/2014 Rule Providing for the Vermont Small Business Offering Exemption
Regulation S-2011-03 Thu, 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Regulation Reg-I-2011-03 Thu, 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations
Order Docket No. 12-005-I Fri, 04/20/2012 Roy Allen Gray
Order Docket No. 11-086-I Mon, 12/12/2011 Ronald R. Prohaska
Order Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.

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