State of Vermont
DFR Regulations, Orders, Bulletins and Market Conduct Exams
| Type | Name |
Effective Date |
Title |
|---|---|---|---|
| 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 |
Pages
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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