DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort ascending Name Effective Date Title
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. 14-036-I Tue, 07/29/2014 Order for Summary Suspension of the Insurance License of Christopher R. Corley
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. 06-43-S Fri, 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements and Orders in Effect Prior to July 1, 2006, to the Vermont Uniform Securities Act.
Order Docket No. 14-060-I Wed, 09/03/2014 Bankers Life and Casualty Company
Order Docket No. 11-021-B Fri, 05/06/2011 Order Regarding Effective Date of Sponsorship Requirement for Individual Mortgage Loan Originators that are Employees of Loan Servicing Companies
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities, Inc.
Order Docket No. 10-038-S Fri, 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 14-038-I Mon, 09/08/2014 William C. Mount
Order Docket No. 13-025-S Fri, 09/20/2013 UBS Financial Services
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
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

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