DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type | Name | Effective Date | Title Sort descending |
|---|---|---|---|
| Order | Docket No. 17-018-S | Mon, 01/06/2020 | Winthrop Investment Management Order |
| Order | Docket No. 21-053-S (Withdrawal) | Thu, 05/19/2022 | Withdrawal of Ex Parte Order to Cease and Desist |
| Order | Docket No. 21-053-S (Withdrawn) | Fri, 01/07/2022 | WITHDRAWN - Carinthia Ex Parte Order to Cease and Desist |