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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title Sort descending
Order Docket No. 19-019-S Wed, 01/08/2020 Liberty Partners Financial Services Stipulation and Consent
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 19-069-S Fri, 03/06/2020 Account Management, DeRoetth Stipulation and Consent
Order Docket No. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgment and Order
Order Docket No. 23-012-S Mon, 07/31/2023 Alpenglow Advisors Stipulation and Consent Order
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. 23-CV-04806 Thu, 11/16/2023 Assurance of Voluntary Compliance Morgan Stanley Smith Barney LLC
Order Docket No. 21-049-S Tue, 09/13/2022 Avantax Stipulation and Consent Order
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. 20-017-S Wed, 03/18/2020 Benchmark Company Stipulation and Consent
Order Docket No. 21-025-S Mon, 02/14/2022 BlockFi Consent Order
Order Docket No. 21-025-S Mon, 07/26/2021 BlockFI Show Cause Order
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. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 18-030-S Fri, 05/25/2018 Cease and Desist Levelnet Inc. and Paul Shkliaev
Order Docket No.22-021-S Fri, 08/12/2022 Celsius Order For Ex Parte Cease and Desist
Order Docket No. 22-011-S Tue, 05/03/2022 Chadwick Ex Parte Order to Cease and Desist
Order Docket No. 22-011-S Fri, 06/17/2022 Chadwick Stipulation and Interim Consent Order
Order Docket No. 19-045-S Sat, 10/09/2021 Clearwater Investment Trust Amendment Order
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 23-003-2 Tue, 06/06/2023 Coinbase Global, Inc. Show Cause Order