State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
Type |
Name | Effective Date | Title |
|---|---|---|---|
| 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 | Docket No. 13-047-S | Fri, 11/15/2013 | State Farm Mutual Funds - Electronic Filings |
| Order | Docket No. 19-012-S | Fri, 05/31/2019 | In Re: Future Income Payments Final Order to Cease and Desist |
| Order | Docket No. 18-049-S | Tue, 11/27/2018 | Stock Investment Management Inc. |
| Order | Docket No. 19-017-S | Fri, 07/26/2019 | Pantera Digital Asset Fund LP Stipulation and Consent Order |
| Order | Docket No. 18-044-S | Tue, 11/06/2018 | In Re: Barker Partnership Fund |
| Order | Docket No. 13-029-S | Mon, 09/09/2013 | In Re: Alicia Goodman Cease and Desist |
| Order | Docket No. 18-043-S | Thu, 11/01/2018 | In Re: Toro Jax Holdings, LLC |
| Order | Docket No. 18-032-S | Tue, 11/20/2018 | LPL Financial LLC |
| Order | Docket No. 13-025-S | Fri, 09/13/2013 | UBS Financial Services - Consent Order |
| Order | Docket No. 18-030-S | Fri, 05/25/2018 | Cease and Desist Levelnet Inc. and Paul Shkliaev |
| Order | Docket No. 13-022-S | Thu, 10/10/2013 | In Re: Surety Services Stipulation and Consent Order |
| Order | Docket No. 18-029-S | Thu, 07/26/2018 | In Re: DA Davidson |
| Order | Docket No. 13-001-S | Fri, 02/08/2013 | UVEST Financial Services Group Consent Order |
| Order | Docket No. 18-015-S | Thu, 06/07/2018 | In Re: Jacinto “Spirit Wolf” Vega, Jr. |
| Order | Docket No. 13-001-S | Fri, 03/08/2013 | ProEquities Consent Order |
| Order | Docket No. 18-011-S | Wed, 02/21/2018 | In Re: Merrill Lynch |
| Order | Docket No. 12-022-S | Mon, 02/13/2012 | Ronald Berman and Axiom Capital Management Order Removing Conditions |
| Order | Docket No. 17-030-S | Wed, 11/08/2017 | Bankers Life and Casualty |
| Order | Docket No. 12-003-S | Thu, 01/19/2012 | Barry Cassese and KC Ward Financial |
| Order | Docket No. 17-022-S | Tue, 08/08/2017 | In Re: People's Securities, Inc |
| Order | Docket No. 11-026-S | Tue, 05/31/2011 | Michael Williams Stipulation and Consent Order |
| Order | Docket No. 17-018-S | Sun, 07/02/2017 | In Re: Rodney Winthrop Thompson |
| Order | Docket No. 11-008-S | Fri, 03/04/2011 | Robert Cully and Winslow, Evans & Crocker |
Pages
Contact Information
Department of Financial Regulation
Commissioner Michael Pieciak
89 Main Street, Montpelier, VT 05620 - 3101
802-828-3301
Public Information
For public records, media inquiries, and press releases visit our Public Information web page.
