DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 04-010-S Fri, 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance Co. of Wisconsin
Order Docket No. 10-031-S Thu, 04/22/2010 Stifle, Nicolaus & Company, Inc.
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 12-023-I Fri, 07/20/2012 Bankers Life and Casualty Company
Order Docket No. 10-002-S Fri, 01/15/2010 Lincoln Financial Securities Corporation
Order Docket No. 13-043-I Thu, 11/07/2013 Order to smooth transition to VHC
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket# 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 11-007-S Wed, 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with the State of Vermont
Order 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order 12-022-S Wed, 02/13/2013 Ronald Berman and AXIOM Capital Management 2
Order Docket No. 10-0098-H Mon, 10/04/2010 MVP Health Insurance
Order 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 10-020-H Thu, 10/07/2010 Reliance Standard Life Insurance Company
Order Docket No. H-09-063 Mon, 03/08/2010 United Health Group
Order 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Ord-12-037-S Mon, 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Docket No. 10-101-1 Sat, 12/18/2010 Aetna Life Insurance Company
Order Docket No. 12-003-S Thu, 01/26/2012 Barry F. Cassese and K.C. Ward Financial

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