DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 14-023-S 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 15-028-I 10/30/2015 Mark J. Bean
Order Docket No. 13-022-S 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 13-043-I 11/07/2013 Order to smooth transition to VHC
Order Docket No. 12-052-I 01/22/2013 Jeffrey Douglas Penta
Order Docket No. 11-007-S 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 11-062-I 12/12/2011 Claude Alan Boucher
Order Docket No. 12-027-B 07/09/2012 IH Financial Licenses, Inc. and ITC Financial Licenses, Inc.
Order Docket No. 16-011-I 09/13/2016 Alan F. Dauphin
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. 14-036-I 07/29/2014 Order for Summary Suspension of the Insurance License of Christopher R. Corley
Order Docket No. 15-013-I 07/22/2015 Claymonte Arshawn McNeill
Order Docket No. 13-047-S 11/15/2013 State Farm Mutual Funds
Order Docket No. 12-043-I 01/02/2013 Mark Patrick Santos
Order Docket No. 11-103-I 03/23/2012 Sean Deandre Dade
Order Docket No. 12-020-B 10/05/2012 Vermont State Employees Credit Union
Order Docket No. 10-0098-H 10/04/2010 MVP Health Insurance
Order Docket No. 14-060-I 09/03/2014 Bankers Life and Casualty Company
Order Docket No. 13-016-S 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 12-058-I 01/30/2013 Barbara Shay
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. 15-047-I 01/19/2017 Katie L. Mouser
Order Docket No. 10-020-H 10/07/2010 Reliance Standard Life Insurance Company
Order Docket No. 13-001-S 03/08/2013 ProEquities, Inc.

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