DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
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. 13-043-I Thu, 11/07/2013 Order to smooth transition to VHC
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.
Market Conduct Docket No. 06-027-1 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
Market Conduct Docket No. 04-057-I Tue, 12/07/2004 UNUM Life Insurance Company; Paul Revere LIfe Insurance Company; Provident Life & Accident Insurance Company
Market Conduct Docket No. 12-014-I Tue, 05/22/2012 Order Adopting Report Of Examination of NCCI
Market Conduct Docket No. 03-031-I Wed, 06/23/2004 Blue Cross/Blue Shield of Vermont
Market Conduct Docket No. 04-022-I Wed, 10/20/2004 Bankers Life Insurance
Market Conduct Docket No. 03-071-I Wed, 04/21/2004 Monumental Life Insurance Company

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