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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title Sort descending
Order Docket No. 24-002-S Mon, 01/22/2024 Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al
Order Docket No. 24-014-S Wed, 08/14/2024 Order Authorizing Dual Registration Under the Vermont Uniform Securities Act In Re Dominik M. Tortes and Dalmore Group LLC, and Nortlov
Order Docket No. 23-22-S Fri, 12/08/2023 Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542)
Order Docket No. 18-042-B Thu, 09/13/2018 Order Exempting Certain Loan Solicitation Companies From the Loan Solicitation Licensing Requirement Of 8 VSA Chapter 73
Order Docket No. 20-035-I Wed, 02/24/2021 Order for Revocation of License - GCIB
Order Docket No. 20-031-I Wed, 02/24/2021 Order for Revocation of License - Jones
Order Docket No. 20-032-I Wed, 02/24/2021 Order for Revocation of License - Rasnake
Order Docket No. 20-036-I Wed, 02/24/2021 Order for Revocation of License - Thandi
Order Docket No. 19-023-I Tue, 07/02/2019 Order for the Acquisition of Control of WellCare Health Plans of Vermont, Inc. by Centene Corporation
Order Docket No. 22-005-I Mon, 09/25/2023 Order of Default Judgment | Senior Health Insurance Company of Pennsylvania (SHIP) - Long-Term Care
Order Docket No. 20-027-S Fri, 07/10/2020 Order Removing Conditions from in the Matter of John A. Bodnar And International Assets Advisory, LLC International Assets Investment Management, LLC Docket No. 17-011-S, April 28, 2017
Order Docket No. 19-058-I Tue, 02/11/2020 Osmund Josiah Marcellin Default Judgment and Order
Bulletin Insurance Bulletin #171 Mon, 03/12/2018 Out-of-Pocket Maximum for Prescription Drugs
Order Docket No. 20-023-S Tue, 06/16/2020 Overland Storage Stipulation and Consent
Bulletin Banking Bulletin #34 Fri, 01/06/2012 PACE Assessment Underwriting Criteria and Standards
Bulletin Banking Bulletin #35 Fri, 01/06/2012 PACE Reserve Fund
Order Docket No. 22-027-I Tue, 11/15/2022 Pancorbo Default Judgment and Order
Order Docket No. 19-017-S Fri, 07/26/2019 Pantera Digital Asset Fund LP Stipulation and Consent Order
Order Docket No. 20-026-S (Amendment) Wed, 06/10/2020 Patrick Mazza Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
Order Docket No. 21-015-I Fri, 04/09/2021 Patriot Insurance Company Stipulation and Consent Order
Order Docket No. 21-035-I Fri, 11/05/2021 Paul Haan Default Judgment and Order
Order Docket No. 19-044-I Mon, 10/07/2019 Permanent General Assurance Corporation Stipulation and Consent
Bulletin Banking Bulletin #19 Wed, 07/23/1997 Permitted Charges on Mortgages
Bulletin Banking Bulletin #11 Mon, 06/18/1984 Permitted Charges on Subordinate Lien Mortgages