DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 18-029-S Thu, 07/26/2018 In Re: DA Davidson
Order Docket No. 19-055-S Fri, 12/20/2019 Maryland Cultivation and Processing Stipulation and Consent
Order Docket No. 13-001-S Fri, 03/08/2013 ProEquities Consent Order
Order Docket No. 18-015-S Thu, 06/07/2018 In Re: Jacinto “Spirit Wolf” Vega, Jr.
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent
Regulation Reg. S-2016-01 (Revised) Thu, 12/16/2021 Vermont Securities Regulations

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