DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 15-021-B 07/15/2015 Sherman, Clay & Co
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. 12-044-I 01/18/2013 Tasheanna Barnes
Order Docket No. 13-043-I 11/07/2013 Order to smooth transition to VHC
Order Docket No. 13-056-I 04/16/2014 Redonda Lawrence Russell
Order Docket No. 11-007-S 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 13-033-B 01/10/2014 Lisa Marie Fendelet
Order Docket No. 16-020-I 01/01/2017 Stop Loss Attachment Points
Order Docket No. 15-020-I 07/15/2015 GEICO
Order Docket No. 10-0098-H 10/04/2010 MVP Health Insurance
Order Docket No. 12-039-I 02/05/2013 Christie Glenn
Order Docket No. 13-047-S 11/15/2013 State Farm Mutual Funds
Order Docket No. 13-041-I 11/18/2013 Travis C. Shine
Order Docket No. 13-026-B 09/09/2013 NetSpend Corporation
Order Docket No. 16-001-S 07/01/2016 Repealing in part and retaining in part Order 06-23-S 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. 17-017-B 06/05/2017 State Regulatory Registry LLC and Nationwide Multistate Licensing System
Order Docket No. 10-020-H 10/07/2010 Reliance Standard Life Insurance Company
Order Docket No. 12-025-I 08/28/2012 Maria G. Gonzalez
Order Docket No. 13-016-S 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-053-I 12/16/2013 Dorothy Torro-Claflin
Order Docket No. 13-058-B 12/19/2013 Ocwen Financial Corp. and Ocwen Loan Servicing, LLC.
Order Docket No. 16-026-S 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 10-059-H 10/29/2010 Aetna Insurance Company
Order Docket No. 12-005-I 04/20/2012 Roy Allen Gray
Order Docket No. 13-004-I 04/19/2013 Triad Guaranty Insurance Corporation

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