DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Type Namesort descending Effective Date Title
Order Docket No. 10-029-S 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 10-030-S 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 10-031-S 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 10-032-S 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 10-033-B 04/19/2010 Order Regarding Effective Date Of Individual Mortgage Loan Originator Licensing For Employees Of Loan Servicing Companies
Order Docket No. 10-035-I 05/03/2010 James Z. Remington, Jr.
Order Docket No. 10-036-I 04/28/2011 Jeffrey R. Faber
Order Docket No. 10-038-S 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 10-040-I 07/03/2010 Peter R. Becker
Order Docket No. 10-041-B 07/15/2010 6:10 Services d/b/a Debt Free America
Order Docket No. 10-042-B 07/15/2010 1st Citizen Mortgage, LLC. d/b/a Champlain Valley Mortgage
Order Docket No. 10-043-B 07/15/2010 QuoteMatch, LLC.
Order Docket No. 10-045-B 07/15/2010 Redwood Financial Partners, LLC.
Order Docket No. 10-051-I 07/23/2010 Monumental Life Insurance Company
Order Docket No. 10-052-S 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 10-053-I 12/29/2010 Life Insurance Company of the Southwest
Order Docket No. 10-057-I 07/19/2010 Karianne Scott
Order Docket No. 10-059-H 10/29/2010 Aetna Insurance Company
Order Docket No. 10-063-B 07/23/2010 Academy Mortgage Corporation
Order Docket No. 10-072-S 08/25/2010 Adam Sclafani and John Thomas Financial
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. 10-096-I 10/14/2010 Liberty Mutual Group
Order Docket No. 10-100-I 12/16/2010 Unum Life Insurance Company of America
Order Docket No. 10-101-1 12/18/2010 Aetna Life Insurance Company
Order Docket No. 10-102-H 11/22/2010 Regence Bluecross Blueshield of Utah

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