Vermont Official State Website

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	Title
Order	Docket No. 16-026-S	Sun, 06/05/2016	Raymond James and Associates - Consent Order
Order	Docket No. 10-028-S	Thu, 03/04/2010	Lisa Graves Consent Order
Order	Docket No. 19-003-S	Fri, 03/08/2019	In RE: Flipside Cryto, Active Eight LLC
Order	Docket No. 10-002-S	Fri, 01/08/2010	Lincoln Financial Securities 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. 19-004-S	Thu, 03/14/2019	In RE: Flipside Cryto, Managed 9 LLC
Order	Docket No. 19-024-S	Thu, 08/01/2019	375 North Avenue Stipulation and Consent Order
Order	Docket No. 14-089-S	Mon, 12/01/2014	UBS Financial Services - Consent Order
Order	Docket No. 19-025-S	Thu, 08/01/2019	375 North Avenue Stipulation and Consent Order (2)
Order	Docket No. 14-024-S	Tue, 05/27/2014	Jason Oleet and Middlebury Securities, LLC - Order
Order	Docket No. 19-026-S	Thu, 08/01/2019	375 North Avenue Stipulation and Consent Order (3)
Order	Docket No. 14-022-S	Mon, 04/07/2014	Registration Exemption for SolarCommunities, Inc - Order
Regulation	Reg. S-2016-01 (Revised)	Mon, 08/12/2019	Vermont Securities Regulations

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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)

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For public records, media inquiries, and press releases visit our Public Information web page.

Employee Information