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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Sort ascending Title
Order Docket No. 23-003-S Thu, 06/27/2024 Coinbase Standstill and Tolling Agreement
Order Docket No. 24-001-S Mon, 01/22/2024 Consent Order in Re TradeStation Crypto, Inc.
Order Docket No. 24-002-S Mon, 01/22/2024 Order Authorizing Dual Registration Under the Vermont Uniform Securities Act Darraugh Valli, Agent (CRD # 2191309) and Cambridge Investment Research, Inc., Broker (CRD# 39543) et al
Order Docket No. 21-050-S Thu, 12/14/2023 Judgment and Order in Re Colomont, Inc. and Christopher Santee
Order Docket No. 22-011-S Mon, 12/11/2023 Stipulation and Consent Order in Re Thomas M. Chadwick, Chadwick & D'Amato
Order Docket No. 23-22-S Fri, 12/08/2023 Order Authorizing Multiple Registration Under VT Uniform Securities Act Thomas Meringolo, Agent (CRD# 4192542)
Order Docket No. 23-019-S Tue, 11/28/2023 Exeter Capital Companies, LLC Stipulation and Consent Order
Order Docket No. 23-CV-04806 Thu, 11/16/2023 Assurance of Voluntary Compliance Morgan Stanley Smith Barney LLC
Order Docket No. 23-017-S Fri, 11/03/2023 Raymond James & Associates, Inc. Consent Order
Order Docket No. 23-013-S Tue, 10/24/2023 Safeguard Metals LLC | Jeffrey Ikahn FKA Jeffrey Santulan
Order Docket No. 23-012-S Mon, 07/31/2023 Alpenglow Advisors Stipulation and Consent Order
Order Docket No 23-002-S Wed, 06/14/2023 Ex Parte Order to Cease and Desist | Plutus Financial dba Abra
Order Docket No. 23-003-2 Tue, 06/06/2023 Coinbase Global, Inc. Show Cause Order
Order Docket No. 23-001-S Fri, 05/05/2023 Educator of Truth, et al., dba Educational Empowerment Corp. and Mark Laurence Donald Emerson | Stipulation and Consent Order
Order Docket No. 23-004-S Tue, 04/25/2023 Thomas Connolly | Connolly Financial Advisors, LLC Stipulation and Consent Order
Order Docket No 23-001-S Tue, 03/14/2023 Educator of Truth, et al., dba Educational Empowerment Corp. and Mark Laurence Donald Emerson | Ex Parte Order to Cease and Desist
Order Docket No. 22-022-S Thu, 01/26/2023 Nexo Inc., Nexo Capital, Inc. and Nexo Financial, LLC Stipulation and Consent Order
Order Docket No. 22-004-S Fri, 01/13/2023 (FINAL ORDER) Voyager Ex Parte Order to Cease and Desist
Order Docket No. 22-022-S Mon, 09/26/2022 Nexo Inc. Ex Parte Order to Cease and Desist
Order Docket No. 21-048-S Wed, 09/14/2022 Polak Stipulation and Consent Order
Order Docket No. 21-049-S Tue, 09/13/2022 Avantax Stipulation and Consent Order
Order Docket No.22-021-S Fri, 08/12/2022 Celsius Order For Ex Parte Cease and Desist
Order Docket No. 22-011-S Fri, 06/17/2022 Chadwick Stipulation and Interim Consent Order
Order Docket No. 21-053-S (Withdrawal) Thu, 05/19/2022 Withdrawal of Ex Parte Order to Cease and Desist
Order Docket No. 22-011-S Tue, 05/03/2022 Chadwick Ex Parte Order to Cease and Desist