DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type	Name	Effective Date	Title
Order	Docket No. 19-024-S	Mon, 11/25/2019	Sally Jane Boyle Stipulation and Consent
Order	Docket No. 20-009-S	Fri, 03/06/2020	Solium Financial Services LLC Stipulation and Consent
Order	Docket No. 13-047-S	Fri, 11/15/2013	State Farm Mutual Funds - Electronic Filings
Order	Docket No. 10-031-S	Mon, 04/05/2010	Stifel, Nicolaus and Co Consent Order
Order	Docket No. 18-049-S	Tue, 11/27/2018	Stock Investment Management Inc.
Order	Docket No. 20-029-S (Amendment)	Fri, 12/11/2020	Therieau Amendment to Ex Parte Order to Cease and Desist
Order	Docket No. 20-029-S	Tue, 03/16/2021	Therieau Financial Services Final Order
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. 20-029-S	Wed, 10/14/2020	William J. Therieau Cease and Desist
Order	Docket No. 17-018-S	Mon, 01/06/2020	Winthrop Investment Management Order

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Bulletins, Orders, and Regulations

DFR Regulations, Orders, Bulletins and Market Conduct Exams

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