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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title Sort ascending
Order Docket No. 21-053-S (Withdrawn) Fri, 01/07/2022 WITHDRAWN - Carinthia Ex Parte Order to Cease and Desist
Order Docket No. 21-053-S (Withdrawal) Thu, 05/19/2022 Withdrawal of Ex Parte Order to Cease and Desist
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order
Order Docket No. 20-029-S Wed, 10/14/2020 William J. Therieau Cease and Desist
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 22-004-S Tue, 09/13/2022 Voyager Ex Parte Order to Cease and Desist
Order Docket No. 22-004-S Tue, 03/29/2022 Voyager Digital Show Cause Order
Order Docket No. 14-023-S Mon, 07/21/2014 Vermont Solar / Utility No-Action "SUN" Exemption
Regulation Reg. S-2016-01 (Revised) Thu, 12/16/2021 Vermont Securities Regulations
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 14-089-S Mon, 12/01/2014 UBS Financial Services - Consent Order
Order Docket No. 13-025-S Fri, 09/13/2013 UBS Financial Services - Consent Order
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 20-008-S Tue, 02/25/2020 Thornton Investment Management Stipulation and Consent
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 23-004-S Tue, 04/25/2023 Thomas Connolly | Connolly Financial Advisors, LLC Stipulation and Consent Order
Order Docket No. 20-029-S Tue, 03/16/2021 Therieau Financial Services Final Order
Order Docket No. 20-029-S (Amendment) Fri, 12/11/2020 Therieau Amendment to Ex Parte Order to Cease and Desist
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 22-011-S Mon, 12/11/2023 Stipulation and Consent Order in Re Thomas M. Chadwick, Chadwick & D'Amato
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 13-047-S Fri, 11/15/2013 State Farm Mutual Funds - Electronic Filings