DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending 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. 12-031-I Wed, 02/27/2013 Horace Mann Insurance Co.
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. 11-007-S Sat, 02/05/2011 Henry Corrao and EKN Financial Services, Inc.
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. 10-040-I Sat, 07/03/2010 Peter R. Becker
Order Docket No. 14-022-S Mon, 04/21/2014 Solar Communities, Inc. d/b/a SunCommon
Order Docket No. 09-074-H Mon, 03/21/2011 Southwestern Vermont Medical Center Fiscal Year 2009 Budget Performance
Order Docket No. 10-052-S Tue, 06/15/2010 John D. Buglisi & Rockwell Global Capital, LLC
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Adam Oleet and Middlebury Securities, LLC
Order 12-041-I Wed, 05/22/2013 Application by the Proposed Vermont Health CO-OP For a Certificate of Public Good and Certificate of Authority to Commence Business as a Domestic Mutual Insurance Company
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 10-051-I Fri, 07/23/2010 Monumental Life Insurance Company
Order Docket No: 13-003-I Tue, 05/28/2013 CIGNA (Connecticut General Life Insurance Co.) is ordered to pay a $7,500 penalty
Order Docket No. 11-026-S Tue, 05/31/2011 Michael T. Williams
Order Docket No. 10-057-I Mon, 07/19/2010 Karianne Scott
Order Docket No. 14-023-S Mon, 07/21/2014 Solar/Utility No-Action Securities 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. 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

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