DFR Regulations, Orders, Bulletins & Market Conduct Exams
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Type |
Name | Effective Date | Title |
|---|---|---|---|
| Order | Order Establishing Tier Rate Structure and Multipliers | Thu, 03/14/2013 | Docket No. 13-002-I |
| Order | Docket No. 10-057-I | Mon, 07/19/2010 | Karianne Scott |
| Order | Docket No. 11-097-I | Mon, 01/30/2012 | United Healthcare |
| Order | Docket No. 10-030-S | Tue, 05/11/2010 | Wells Fargo Investments, LLC |
| Order | 12-031-I | Wed, 02/27/2013 | Horace Mann Insurance Co. |
| Order | Ord-06-43-S(all exhibits) | 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. 10-038-S | Fri, 05/14/2010 | Peter Van Hamm and Meyers Associates, L.P. |
| Order | Docket No. 10-072-S | Wed, 08/25/2010 | Adam Sclafani and John Thomas Financial |
| Order | Docket No. 11-008-S | Mon, 03/14/2011 | Robert Cully and Winslow, Evans & Crocker, Inc. |
| Order | Docket No. 10-032-S | Tue, 04/27/2010 | Goldman, Sachs & Co. |
| Order | Docket No. 11-026-S | Tue, 05/31/2011 | Michael T. Williams |
| Order | Docket No. 04-010-S | Fri, 06/25/2010 | Gary L. Saccaro and Paulson Investment Co., Inc. |
| Order | Docket No. 10-031-S | Thu, 04/22/2010 | Stifle, Nicolaus & Company, Inc. |
| Order | Docket No. 10-002-S | Fri, 01/15/2010 | Lincoln Financial Securities Corporation |
| Order | Docket No. 10-003-S | Fri, 01/15/2010 | Burton J. Steen |
| Order | Docket No. 11-021-B | Fri, 05/06/2011 | Order Regarding Effective Date of Sponsorship Requirement for Individual Mortgage Loan Originators that are Employees of Loan Servicing Companies |
| Order | Docket No. 10-028-S | Thu, 03/11/2010 | Lisa M. Graves |
| Order | Docket No. 10-029-S | Tue, 04/27/2010 | UBS Securities, LLC and UBS Financial Services, Inc. |
| Order | Docket No. 11-033-I | Thu, 06/30/2011 | Union Mutual Fire Insurance Company |
| 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. 12-023-I | Fri, 07/20/2012 | Bankers Life and Casualty Company |
| Order | Docket No. 10-0098-H | Mon, 10/04/2010 | MVP Health Insurance |
| Order | Docket No. 10-020-H | Thu, 10/07/2010 | Reliance Standard Life Insurance Company |
| Order | Docket No. 10-059-H | Fri, 10/29/2010 | Aetna Insurance Company |
| Order | Docket No. 11-007-S | Wed, 07/18/2012 | In the matter of: Henry Corrao and EKN Financial Services |