DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
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. 06-043-S Fri, 07/07/2006 Applying Provisions of Certain Regulations, Bulletins, Policy Statements, and Orders to the Vermont Securities Act
Order Docket No. 19-004-S Thu, 03/14/2019 In RE: Flipside Cryto, Managed 9 LLC
Order Docket No. 20-026-S Mon, 06/08/2020 Patrick Mazza Ex Parte Order to Cease and Desist
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 20-024-S Wed, 06/10/2020 Neurotherapeutics, Embera Stipulation and Consent
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 14-024-S Tue, 05/27/2014 Jason Oleet and Middlebury Securities, LLC - Order
Order Docket No. 20-023-S Tue, 06/16/2020 Overland Storage Stipulation and Consent
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 14-022-S Mon, 04/07/2014 Registration Exemption for SolarCommunities, Inc - Order
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. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Order Docket No. 14-001-S Fri, 01/17/2014 Robert Jamo and Quasar Distributors, LLC
Regulation Reg. S-2016-01 (Revised) Mon, 08/12/2019 Vermont Securities Regulations

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