DFR Regulations, Orders, Bulletins & Market Conduct Exams

Results can be sorted by clicking on a column title.
Typesort descending Name Effective Date Title
Market Conduct Dkt. No. 08-067-I Fri, 08/22/2008 National Life Insurance Company
Market Conduct Docket No. 08-046-I Tue, 04/29/2008 Conseco Senior Health Insurance adn Bankers Life & Casualty Company
Market Conduct Docket No. 07-027-I Thu, 12/13/2007 New England Life Insurance Company of Boston, Massachusetts
Market Conduct Docket No. 07-068-I Sat, 10/20/2007 CUNA Mutual Insurance Society
Market Conduct Docket No. 07-075-I Mon, 08/20/2007 United Health Care Insurance Company, et al.
Market Conduct Docket No. 07-026-I Thu, 03/01/2007 American Progressive Life & Health Insurance Company of New York
Market Conduct Docket No. 06-077-I Wed, 02/07/2007 National Mutual Insurance Company, National Mutual Fire Insurance Company and Nationwide Property & Casualty Company
Market Conduct Docket No. 06-069-I Tue, 09/05/2006 Massachusetts Mutual Life Insurance Company
Market Conduct Docket No. 06-068-1 Wed, 08/23/2006 American General Assurance Company
Market Conduct Docket No. 06-065-I Tue, 08/15/2006 Universal Underwriters Life Insurance
Market Conduct Docket No. 06-064-I Tue, 08/08/2006 CUNA Mutual Insurance Society
Market Conduct Docket No. 06-042-I Wed, 07/05/2006 The Penn Warrenty Corporation
Market Conduct Docket No. 06-055-I Mon, 07/17/2006 Northwestern Mutual Life Insurance
Order Docket No. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 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 Docket No. 12-022-S Thu, 01/17/2013 Ronald Berman and AXIOM Capital Management Inc.
Order Docket No. 12-022-S Wed, 02/13/2013 Order Removing Conditions from Ronald Berman and AXIOM Capital Management
Order Docket No. 10-0098-H Mon, 10/04/2010 MVP Health Insurance
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments

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