DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type | Name | Effective Date Sort descending | Title |
|---|---|---|---|
| Order | Docket No. 21-050-S | Thu, 12/14/2023 | Judgment and Order in Re Colomont, Inc. and Christopher Santee |
| 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. 24-001-S | Mon, 01/22/2024 | Consent Order in Re TradeStation Crypto, Inc. |