Statement from Commissioner Pieciak: DFR staff continue to work remotely and will do so until further notice. The department is still conducting business, however there may be some temporary delays in DFR services. 

DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Date Titlesort descending
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 14-002-S Mon, 01/06/2014 Thomas Donnelly and Quasar Distributors, LLC
Order Docket No. 20-008-S Tue, 02/25/2020 Thornton Investment Management Stipulation and Consent
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and 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. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 13-001-S Fri, 02/08/2013 UVEST Financial Services Group Consent Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Regulation Reg. S-2016-01 (Revised) Mon, 08/12/2019 Vermont Securities Regulations
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 17-018-S Mon, 01/06/2020 Winthrop Investment Management Order

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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

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