State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
Type |
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 |
Pages
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)
Public Information
For public records, media inquiries, and press releases visit our Public Information web page.
Employee Information
Consumer Resources