DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
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. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 12-011-I Wed, 07/18/2012 Michael Paul Ippolito
Order Docket No. 11-058-I Wed, 11/16/2011 Edward L. Austin, III
Order Docket No. 13-017-B Mon, 09/16/2013 David Leonard Rome
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 12-007-I Fri, 04/20/2012 Roland C. Matatics
Order Docket No. 11-059-I Thu, 12/22/2011 Joshua K. Barney
Order Docket No. 13-010-B Mon, 05/13/2013 Shelter Mortgage Company, LLC.
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 12-047-I Fri, 01/18/2013 Dylan A. Molina
Order Docket No. 11-060-I Tue, 11/29/2011 David W. Barrell
Order Docket No. 11-033-I Thu, 06/30/2011 Union Mutual Fire Insurance Company
Order Docket No. 12-050-B Thu, 11/29/2012 Border Lodge Credit Union
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 12-056-I Wed, 01/30/2013 William A. Newburn
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. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
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. 12-002-I Thu, 09/26/2013 Nation Safe Drivers of Florida
Order Docket No. 12-045-I Wed, 01/02/2013 Michael Phillip O'Keefe

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