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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Sort ascending Title
Order Docket No. 13-041-I Mon, 11/18/2013 In Re: Travis Shine - Stipulation and Consent
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings
Order Docket No. 13-040-I Wed, 11/06/2013 In Re: Lorraine Locke - Stipulation and Consent
Order Docket No. 13-048-I Tue, 11/05/2013 In Re: Jessica Myers - Stipulation and Consent
Order Docket No. 13-043-I Sun, 11/03/2013 In Re: Vermont Health Connect - Order
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance - Stipulation and Consent
Order Docket No. 13-022-S Thu, 10/10/2013 In Re: Surety Services Stipulation and Consent Order
Order Docket No. 13-020-B Mon, 09/16/2013 Brandon Maddick - Order
Order Docket No. 13-018-B Mon, 09/16/2013 Zachary Tierney - Order
Order Docket No. 13-017-B Sat, 09/14/2013 David Rome - Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 13-026-B Mon, 09/09/2013 In Re: NetSpend Corporation
Order Docket No. 13-029-S Mon, 09/09/2013 In Re: Alicia Goodman Cease and Desist
Order Docket No. 13-024-B Sat, 08/31/2013 Amerisave Mortgage - Settlement Agreement and Order
Order Docket No. 13-021-B Sun, 07/21/2013 Securities Finance Trust Company - Order
Order Docket No. 12-041-I Wed, 05/22/2013 Vermont Health Co-op Licensing Decision and Order
Order Docket No. 13-010-B Mon, 05/13/2013 Shelter Mortgage Company - Stipulation and Consent
Order Docket No. 13-003-I Wed, 05/01/2013 In Re: Connecticut General Life Insurance Stipulation and Consent
Order Docket No. 13-004-I Fri, 04/19/2013 In Re: Triad Guaranty Stipulation and Consent
Order Docket No. 13-008-I Thu, 04/11/2013 In Re: Ullico Casualty - Order to Cease and Desist
Order Docket No. 13-002-I Wed, 03/13/2013 In Re: Vermont Health Benefit Exchange - Rate Structure and Multipliers
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 12-023-I Wed, 02/13/2013 Bankers Life Stipulation and Consent Order
Order Docket No. 12-031-I Sun, 02/10/2013 Horace Mann Insurance Stipulation and Consent Order
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order