Skip to main content

DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Sort descending Name Effective Date Title
Order Docket No. 18-032-S Tue, 11/20/2018 LPL Financial LLC
Order Docket No. 18-043-S Thu, 11/01/2018 In Re: Toro Jax Holdings, LLC
Order Docket No. 18-044-S Tue, 11/06/2018 In Re: Barker Partnership Fund
Order Docket No. 18-049-S Tue, 11/27/2018 Stock Investment Management Inc.
Order Docket No. 18-004-I Mon, 04/02/2018 In Re: Mario A. Rodas
Order Docket No. 17-031-B Thu, 03/15/2018 In Re: Mercari, Inc
Order Docket No. 18-014-I Tue, 07/10/2018 In Re: Saul D. Suster
Order Docket No. 18-013-I Fri, 08/31/2018 Ex Parte Order for Summary Suspension Of Christopher Wocell’s Resident Producer and Surplus Lines Licenses
Order Docket No. 18-013-I Wed, 12/05/2018 Order For Revocation of Christopher Wocell’s Resident Producer And Surplus Lines Licenses
Order Docket No. 18-013-I Mon, 02/26/2018 Wocell Stipulation and Consent
Order Docket No. 18-027-B Wed, 06/13/2018 Internet Escrow Services, Inc.
Order Docket No. 18-039-B Tue, 07/24/2018 FNC Insurance Agency, Inc.
Order Docket No. 18-042-B Thu, 09/13/2018 Order Exempting Certain Loan Solicitation Companies From the Loan Solicitation Licensing Requirement Of 8 VSA Chapter 73
Order Docket No. 15-026-I Mon, 10/12/2015 Applied Underwriters and SolutionOne Products
Order Docket No. 19-008-S Fri, 02/22/2019 In Re: FP Capitol, LLC
Order Docket No. 17-016-I Tue, 08/01/2017 In Re: Liberty Mutual
Order Docket No. 16-013-B Thu, 06/30/2016 In Re: PMAC Lending Services, Inc
Order Docket No. 16-016-B Thu, 05/19/2016 In Re: PayPal
Order Docket No. 16-019-B Thu, 06/09/2016 In Re: Benaissance
Order Docket No. 17-008-S Tue, 04/04/2017 Fishkin and Crow Hill Capital
Order Docket No. 17-018-S Sun, 07/02/2017 In Re: Rodney Winthrop Thompson
Order Docket No. 17-022-S Tue, 08/08/2017 In Re: People's Securities, Inc
Order Docket No. 17-030-S Wed, 11/08/2017 Bankers Life and Casualty
Order Docket No. 17-009-I Sun, 07/02/2017 In Re: InsuranceTek
Order Docket No. 17-010-I Fri, 05/18/2018 USAA