Vermont Official State Website

Statement from Commissioner Pieciak: DFR staff continue to work remotely and will do so until further notice. The department is still conducting business, however there may be some temporary delays in DFR services.

DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type	Name	Effective Date	Title
Order	Docket No. 19-021-S	Thu, 08/29/2019	IBN Financial Services, Inc Stipulation And Consent Order
Order	Docket No. 18-020-S	Fri, 05/03/2019	Harris, Weigand, and Global Mining Default Judgement and Order
Order	Docket No. 19-038-S	Wed, 09/04/2019	Advanced Science Research Inc Stipulation and Consent Order
Order	Docket No. 13-046-S	Mon, 02/24/2014	In Re: George Jones Lincoln
Order	Docket No. 19-008-S	Fri, 02/22/2019	In Re: FP Capitol, LLC
Order	Docket No. 19-035-S	Mon, 09/16/2019	LiquidPiston, Inc. Stipulation and Consent Order
Order	Docket No. 13-049-S	Mon, 09/28/2015	In Re: Tucker Financial Services Stipulation and Consent Order
Order	Docket No. 19-036-S	Wed, 10/02/2019	TrustToken, Inc. Stipulation and Consent Order
Order	Docket No. 13-047-S	Fri, 11/15/2013	State Farm Mutual Funds - Electronic Filings
Order	Docket No. 19-045-S	Wed, 10/09/2019	Clearwater Investment Trust Order, No Action
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.
Regulation	Reg. S-2016-01 (Revised)	Mon, 08/12/2019	Vermont Securities Regulations

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Contact Information

Department of Financial Regulation
Consumer Services
89 Main Street, Montpelier, VT 05620 - 3101

802-828-3301
833-DFR-HOTLINE (toll free)
833-337-4685 (toll free)

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For public records, media inquiries, and press releases visit our Public Information web page.

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