DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Market Conduct Docket No. 06-065-I 08/15/2006 Universal Underwriters Life Insurance
Market Conduct Docket No. 06-064-I 08/08/2006 CUNA Mutual Insurance Society
Market Conduct Docket No. 06-042-I 07/05/2006 The Penn Warranty Corporation
Market Conduct Docket No. 06-055-I 07/17/2006 Northwestern Mutual Life Insurance
Market Conduct Docket No. 06-061-I 07/31/2006 Union Central Life Insurance Company
Order Docket No. 13-058-B 12/19/2013 Ocwen Financial Corp. and Ocwen Loan Servicing, LLC.
Order Docket No. 16-026-S 06/29/2016 Raymond James and Associates, Inc.
Order Docket No. 10-0098-H 10/04/2010 MVP Health Insurance
Order Docket No. 13-047-S 11/15/2013 State Farm Mutual Funds
Order Docket No. 12-025-I 08/28/2012 Maria G. Gonzalez
Order Docket No. 13-053-I 12/16/2013 Dorothy Torro-Claflin
Order Docket No. 13-024-B 07/31/2013 Amerisave Mortgage Corporation
Order Docket No. 16-025-S 06/28/2016 Wells Fargo Advisors LLC
Order Docket No. 10-020-H 10/07/2010 Reliance Standard Life Insurance Company
Order Docket No. 14-064-I 08/27/2015 Progressive Insurance Companies
Order Docket No. 13-016-S 12/05/2013 Settlement Against RBC Capital Markets
Order Docket No. 12-005-I 04/20/2012 Roy Allen Gray
Order Docket No. 17-013-B 05/11/2017 Order Exempting NASAA From Licensure Under The Vermont Money Services Act
Order Docket No. 13-004-I 04/19/2013 Triad Guaranty Insurance Corporation
Order Docket No. 13-021-B 07/29/2013 Securities Finance Trust Company
Order Docket No. 16-017-I 06/27/2016 Ryan Moore
Order Docket No. 10-059-H 10/29/2010 Aetna Insurance Company
Order Docket No. 11-008-S 04/02/2014 Robert Cully & Winslow, Evans & Crocker
Order Docket No. 12-042-I 01/11/2013 Robin Louella Hixon
Order Docket No. 17-015-B 05/26/2017 Glenview Auto Loan Fund LLC

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