DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Ord-06-43-S(all exhibits) 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. 10-038-S Fri, 05/14/2010 Peter Van Hamm and Meyers Associates, L.P.
Order Docket No. 10-072-S Wed, 08/25/2010 Adam Sclafani and John Thomas Financial
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman, Sachs & Co.
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 04-010-S Fri, 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
Order Docket No. 11-026-S Tue, 05/31/2011 Michael T. Williams
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. 10-003-S Fri, 01/15/2010 Burton J. Steen
Order Docket No. 10-028-S Thu, 03/11/2010 Lisa M. Graves
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. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
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. 11-033-I Thu, 06/30/2011 Union Mutual Fire Insurance Company
Order Docket No. 10-0098-H Mon, 10/04/2010 MVP Health Insurance
Order Docket No. 12-023-I Fri, 07/20/2012 Bankers Life and Casualty Company
Order Docket No. 10-020-H Thu, 10/07/2010 Reliance Standard Life Insurance Company
Order Docket No. 10-059-H Fri, 10/29/2010 Aetna Insurance Company
Order Docket No. 10-027-1 Mon, 10/04/2010 Acadia Insurance Company
Order Docket No. H-09-063 Mon, 03/08/2010 United Health Group
Order Docket No. 11-007-S Wed, 07/18/2012 In the matter of: Henry Corrao and EKN Financial Services
Regulation Reg-78-01(Ins) Tue, 05/01/1979 Disclosure (Revised 4/95)
Regulation S-2011-03 Thu, 09/01/2011 Rule for the Use of Senior-Specific Certifications and Professional Designations S
Regulation Reg-86-04 Mon, 12/23/1985 Assessment

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