| Bulletin |
Securities Bulletin S-2018-01 |
Mon, 01/08/2018 |
Joint Guidance on Providing Advice for Securities and Insurance Products |
| Bulletin |
Securities Bulletin 15-01-S |
Mon, 07/20/2015 |
Guidance on Utilizing the Rule Providing for the Vermont Small Business Offerings |
| Order |
RESCINDED - Docket No. 16-019-S |
Thu, 04/04/2019 |
First Financial Equity Corporation Order and Consent (Rescinded) |
| Regulation |
Reg. S-2016-01 (Revised) |
Thu, 12/16/2021 |
Vermont Securities Regulations |
| Order |
Docket No.22-021-S |
Fri, 08/12/2022 |
Celsius Order For Ex Parte Cease and Desist |
| 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. |
| Order |
Docket No. 23-CV-04806 |
Thu, 11/16/2023 |
Assurance of Voluntary Compliance Morgan Stanley Smith Barney LLC |
| 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. 23-019-S |
Tue, 11/28/2023 |
Exeter Capital Companies, LLC Stipulation and Consent Order |
| Order |
Docket No. 23-017-S |
Fri, 11/03/2023 |
Raymond James & Associates, Inc. Consent Order |
| Order |
Docket No. 23-013-S |
Tue, 10/24/2023 |
Safeguard Metals LLC | Jeffrey Ikahn FKA Jeffrey Santulan |
| Order |
Docket No. 23-012-S |
Mon, 07/31/2023 |
Alpenglow Advisors Stipulation and Consent Order |
| Order |
Docket No. 23-004-S |
Tue, 04/25/2023 |
Thomas Connolly | Connolly Financial Advisors, LLC Stipulation and Consent Order |
| Order |
Docket No. 23-003-2 |
Tue, 06/06/2023 |
Coinbase Global, Inc. Show Cause Order |
| Order |
Docket No. 23-001-S |
Fri, 05/05/2023 |
Educator of Truth, et al., dba Educational Empowerment Corp. and Mark Laurence Donald Emerson | Stipulation and Consent Order |
| Order |
Docket No. 22-022-S |
Thu, 01/26/2023 |
Nexo Inc., Nexo Capital, Inc. and Nexo Financial, LLC Stipulation and Consent Order |
| Order |
Docket No. 22-022-S |
Mon, 09/26/2022 |
Nexo Inc. Ex Parte Order to Cease and Desist |
| Order |
Docket No. 22-011-S |
Fri, 06/17/2022 |
Chadwick Stipulation and Interim Consent Order |
| Order |
Docket No. 22-011-S |
Tue, 05/03/2022 |
Chadwick Ex Parte Order to Cease and Desist |
| Order |
Docket No. 22-011-S |
Mon, 12/11/2023 |
Stipulation and Consent Order in Re Thomas M. Chadwick, Chadwick & D'Amato |
| Order |
Docket No. 22-004-S |
Tue, 03/29/2022 |
Voyager Digital Show Cause Order |
| Order |
Docket No. 22-004-S |
Fri, 01/13/2023 |
(FINAL ORDER) Voyager Ex Parte Order to Cease and Desist |
| Order |
Docket No. 21-056-S |
Wed, 01/05/2022 |
Ray Trombley Associates LLC Stipulation and Consent Order |
| Order |
Docket No. 21-053-S (Withdrawn) |
Fri, 01/07/2022 |
WITHDRAWN - Carinthia Ex Parte Order to Cease and Desist |
