DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
Order Docket No. 14-001-S 01/17/2014 Robert Jamo, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 12-047-I 01/18/2013 Dylan A. Molina
Order Docket No. 13-001-S 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 17-015-B 05/26/2017 Glenview Auto Loan Fund LLC
Order Docket No. 11-059-I 12/22/2011 Joshua K. Barney
Order Docket No. 12-050-B 11/29/2012 Border Lodge Credit Union
Order Docket No. 10-102-H 11/22/2010 Regence Bluecross Blueshield of Utah
Order Docket No. 09-094-1 02/10/2010 2Morrow Studio/Build, Inc.
Order Docket No. 14-024-S 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order Docket No. 14-036-I 03/24/2015 Christopher R. Corley
Order Docket No. 12-056-I 01/30/2013 William A. Newburn
Order Docket No. 13-002-I 03/14/2013 Order Establishing Tier Rate Structure and Multipliers
Order Docket No. 11-060-I 11/29/2011 David W. Barrell
Order Docket No. 12-012-B 05/11/2012 Transition Period For Financial Advisors To Obtain a Mortgage Loan Originator License
Order Docket No. 12-050-B (Amended) 12/21/2012 Amended Order Removing The Directors, Officers and Committee Members of Border Lodge Credit Union
Order Docket No. 16-012-S 09/13/2016 Alan F. Dauphin
Order Docket No. 14-023-S 07/21/2014 Solar/Utility No-Action Securities Exemption
Order Docket No. 10-040-I 07/03/2010 Peter R. Becker
Order Docket No. 15-028-I 10/30/2015 Mark J. Bean
Order Docket No. 13-043-I 01/31/2014 Direct enrollment in VHC modified
Order Docket No. 12-045-I 01/02/2013 Michael Phillip O'Keefe
Order Docket No. 11-002-I 02/07/2011 Aimee J. Bonin
Order Docket No. 12-027-B 07/09/2012 IH Financial Licenses, Inc. and ITC Financial Licenses, Inc.
Order Docket No. 11-007-S 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
Order Docket No. 16-011-I 09/13/2016 Alan F. Dauphin

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