DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Type Namesort descending Effective Date Title
Order Docket No. 12-023-I Fri, 07/20/2012 Bankers Life and Casualty Company
Order Docket No. 12-031-I Wed, 02/27/2013 Horace Mann Insurance Co.
Order Docket No. 12-037-S Mon, 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities, Inc.
Order Docket No. 13-001-S Fri, 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 13-002-I Thu, 03/14/2013 Order Establishing Tier Rate Structure and Multipliers
Order Docket No. 13-016-S Thu, 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 13-022-S Thu, 11/07/2013 Surety Services LLC of Delaware
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
Order Docket No. 13-028-S Sat, 08/17/2013 NRG Residential Solar Systems LLC
Order Docket No. 13-029-S Thu, 09/26/2013 Cease and Desist Order for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order Docket No. 13-030-I Fri, 03/07/2014 Suspension of resident insurance producer licenses for David and Alicia (Lisa) Goodman, Mountain Group Financial of Leicester
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance Co. of Wisconsin
Order Docket No. 13-032-I Fri, 11/01/2013 MVP Health Plan, Inc. and MVP Health Ins. Co.
Order Docket No. 13-043-I Thu, 11/07/2013 Order to smooth transition to VHC
Order Docket No. 13-043-I Fri, 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 13-046-S Mon, 02/24/2014 George Jones Lincoln IV and CCO Investment Services Corp.
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 14-016-S Wed, 03/05/2014 Deceptive marketing and other violations by Morgan Keegan companies
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities Exemption

Pages