State of Vermont
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. 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.
