DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 11-060-I Tue, 11/29/2011 David W. Barrell
Order Docket No. 11-021-B Fri, 05/06/2011 Order Regarding Effective Date of Sponsorship Requirement for Individual Mortgage Loan Originators that are Employees of Loan Servicing Companies
Order Docket No. 12-050-B Thu, 11/29/2012 Border Lodge Credit Union
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 14-036-I Tue, 03/24/2015 Christopher R. Corley
Order Docket No. 12-045-I Wed, 01/02/2013 Michael Phillip O'Keefe
Order Docket No. 11-002-I Mon, 02/07/2011 Aimee J. Bonin
Order Docket No. 12-050-B (Amended) Fri, 12/21/2012 Amended Order Removing The Directors, Officers and Committee Members of Border Lodge Credit Union
Order Docket No. 12-027-B Mon, 07/09/2012 IH Financial Licenses, Inc. and ITC Financial Licenses, Inc.
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. 10-028-S Thu, 03/11/2010 Lisa M. Graves
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. 15-028-I Fri, 10/30/2015 Mark J. Bean
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 12-052-I Tue, 01/22/2013 Jeffrey Douglas Penta
Order Docket No. 11-062-I Mon, 12/12/2011 Claude Alan Boucher
Order Docket No. 11-033-I Thu, 06/30/2011 Union Mutual Fire Insurance Company
Order Docket No. 12-020-B Fri, 10/05/2012 Vermont State Employees Credit Union
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. 15-013-I Wed, 07/22/2015 Claymonte Arshawn McNeill
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