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 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
Market Conduct Docket No. 06-061-I Mon, 07/31/2006 Union Central Life Insurance Company
Market Conduct Docket No. 06-059-I Tue, 07/25/2006 Manufacturer's Life Insurance Company
Market Conduct Docket No. 06-060-I Sun, 05/28/2006 Boston Mutual Life Insurance Company
Market Conduct Docket No. 06-044-I Fri, 06/30/2006 Metropolitan Life Insurance Company, Metropolitan Insurance and Annuity Company, ...
Market Conduct Docket No. 06-027-I Thu, 06/08/2006 Allstate Insurance Company and Allstate Indemnity Company
Market Conduct Docket No. 05-027-I Tue, 08/23/2005 New York Life Insurance Company
Market Conduct Docket No. 05-028-I Tue, 08/23/2005 New York Life Insurance and Annuity Corporation
Market Conduct Docket No. 05-009-I Fri, 04/15/2005 Glenbrook LIfe & Annuity Company
Market Conduct Docket No. 05-008-I Fri, 04/15/2005 Northbrook Life Insurance
Market Conduct Docket No. 05-016-I Tue, 05/10/2005 Liberty Mutual Insurance
Market Conduct Docket No. 04-051-I Wed, 07/20/2005 Lincoln Benefit Life Company
Market Conduct Docket No. 04-023-I Sun, 12/12/2004 Allstate Insurance Company
Order Docket No. 11-083-I Tue, 11/29/2011 Frederick J. O'Brien
Order Docket No. 09-096-I Fri, 11/20/2009 Liberty Mutual Ins. Company Order to Show Cause
Order Docket No. 10-041-B Thu, 07/15/2010 6:10 Services d/b/a Debt Free America
Order Superior Court Docket No. 881-11-09 Wed, 07/25/2012 Malcolm H. Parker—Stipulated Settlement Agreement and Consent Order
Order Docket No. 10-040-I Sat, 07/03/2010 Peter R. Becker
Order Docket No. 14-002-S Tue, 01/21/2014 Thomas Donnelly, Agent and Quasar Distributors, LLC Broker: Brookfield Investments
Order Docket No. 13-001-S Thu, 02/28/2013 Bankers Life and Casualty Company and BLC Financial Services, Inc.
Order Docket No. 11-086-I Mon, 12/12/2011 Ronald R. Prohaska
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. 14-087-I Thu, 03/05/2015 John P. Gutschlag

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