DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type	Name	Effective Date	Title
Order	Docket No. 11-007-S	Sun, 02/13/2011	Henry Corrao and EKN Financial Services
Order	Docket No. 10-080-S	Thu, 09/23/2010	Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order	Docket No. 10-052-S	Wed, 06/09/2010	Buglisi and Rockwell Global Capital Consent Order
Order	Docket No. 10-038-S	Wed, 05/05/2010	Van Hamm and Meyers Associates Consent Order
Order	Docket No. 10-030-S	Wed, 04/28/2010	Wells Fargo Investments Consent Order
Order	Docket No. 10-032-S	Tue, 04/27/2010	Goldman Sachs Consent Order
Order	Docket No. 10-029-S	Mon, 04/19/2010	UBS Securities Consent Order
Order	Docket No. 10-031-S	Mon, 04/05/2010	Stifel, Nicolaus and Co Consent Order
Order	Docket No. 10-028-S	Thu, 03/04/2010	Lisa Graves Consent Order
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

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