DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Ord-12-037-S Mon, 11/12/2012 DFR adopts NASAA exemption for investment advisers to private funds
Order Docket No. 09-096-I Fri, 11/20/2009 Liberty Mutual Ins. Company Order to Show Cause
Order Docket No. 12-003-S Thu, 01/26/2012 Barry F. Cassese and K.C. Ward Financial
Order Docket No. 10-100-I Thu, 12/16/2010 Unum Life Insurance Company of America
Order Docket No. 09-084-B Wed, 07/08/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding Effective Date Of Deletion Of Nonprofit Institutions Of Higher Education Exemption
Order Docket No. 10-101-1 Sat, 12/18/2010 Aetna Life Insurance Company
Order Docket No. 13-046-S Wed, 12/11/2013 Settlement against CCO Investment Corp
Order Docket No. 11-023-I Mon, 12/10/2012 Hartford Stipulation and Consent Order
Order Docket No. 09-097-B Thu, 07/23/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding Effective Date Of Deletion Of Licensed Lender Statute Exemption For Nonprofit 501(c) Organizations That Conduct Their Lending Activities Through Revolving Loan Funds
Order Docket No. 09-094-1 Wed, 02/10/2010 2Morrow Studio/Build, Inc.
Order Docket No. 10-102-H Mon, 11/22/2010 Regence Bluecross Blueshield of Utah
Order Docket No. 10-040-I Sat, 07/03/2010 Peter R. Becker
Order 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No: 13-001-S Fri, 02/08/2013 UVest Financial Services Group, Inc.
Order Docket No. 09-084-B Mon, 09/28/2009 8 V.S.A. Chapter 73 Licensed Lender Statute, Act No. 29 (H.171) 2009 - Order Regarding: (A) Modification Of Transition Deadline; (B) Submission Of Credit Reports And Credit Scores; And (C) The Date The Department Will Begin Accepting Mortgage Loan ...
Order Docket No. 10-052-S Tue, 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order 12-022-S Wed, 02/13/2013 Ronald Berman and AXIOM Capital Management 2
Order Docket No. 11-07-S Sat, 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 12-012-B Fri, 05/11/2012 Transition Period For Financial Advisors To Obtain a Mortgage Loan Originator License
Order Docket No. 09-074-H Mon, 03/21/2011 Southwestern Vermont Medical Center Fiscal Year 2009 Budget Performance
Order Docket No. 10-051-I Fri, 07/23/2010 Monumental Life Insurance Company
Order 14-001-S Fri, 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-002-I Thu, 03/14/2013 Order Establishing Tier Rate Structure and Multipliers

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