DFR Regulations, Orders, Bulletins & Market Conduct Exams

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Typesort descending Name Effective Date Title
Order Docket No. 10-057-I Mon, 07/19/2010 Karianne Scott
Order Docket No. 11-097-I Mon, 01/30/2012 United Healthcare
Order Docket No. 10-030-S Tue, 05/11/2010 Wells Fargo Investments, LLC
Order Docket No. 12-031-I Wed, 02/27/2013 Horace Mann Insurance Co.
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 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. 10-072-S Wed, 08/25/2010 Adam Sclafani and John Thomas Financial
Order Docket No. 11-008-S Mon, 03/14/2011 Robert Cully and Winslow, Evans & Crocker, Inc.
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman, Sachs & Co.
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. 04-010-S Fri, 06/25/2010 Gary L. Saccaro and Paulson Investment Co., Inc.
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. 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. 10-028-S Thu, 03/11/2010 Lisa M. Graves
Order Docket No. 10-029-S Tue, 04/27/2010 UBS Securities, LLC and UBS Financial Services, Inc.
Order Docket No. 11-033-I Thu, 06/30/2011 Union Mutual Fire Insurance Company
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. 12-023-I Fri, 07/20/2012 Bankers Life and Casualty Company
Order Docket No. 10-0098-H Mon, 10/04/2010 MVP Health Insurance
Order Docket No. 10-020-H Thu, 10/07/2010 Reliance Standard Life Insurance Company
Regulation C-2012-2 Tue, 07/17/2012 Regulation C-2012-2; Holding Company System Regulations for Risk Retention Groups Chartered in Vermont

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