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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title
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
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order