|
Order |
Docket No. 16-026-S |
Sun, 06/05/2016 |
Raymond James and Associates - Consent Order |
|
Order |
Docket No. 14-022-S |
Mon, 04/07/2014 |
Registration Exemption for SolarCommunities, Inc - Order |
|
Order |
Docket No. 16-001-S |
Wed, 06/01/2016 |
Repealing In Part Order 06-023-S |
|
Order |
Docket No. 11-008-S |
Fri, 03/04/2011 |
Robert Cully and Winslow, Evans & Crocker |
|
Order |
Docket No. 14-001-S |
Fri, 01/17/2014 |
Robert Jamo and Quasar Distributors, LLC |
|
Order |
Docket No. 21-051-S |
Wed, 03/16/2022 |
Robinhood Financial Stipulation and Consent Order |
|
Order |
Docket No. 12-022-S |
Mon, 02/13/2012 |
Ronald Berman and Axiom Capital Management Order Removing Conditions |
|
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) |
Thu, 12/16/2021 |
Vermont Securities Regulations |
|
Order |
Docket No. 14-023-S |
Mon, 07/21/2014 |
Vermont Solar / Utility No-Action "SUN" Exemption |
|
Order |
Docket No. 22-004-S |
Tue, 03/29/2022 |
Voyager Digital Show Cause Order |
