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DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Sort ascending Title
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. 23-011-I Mon, 01/01/2024 Coding and Reimbursement for Audio-Only Telephone Services
Order Docket No. 21-050-S Thu, 12/14/2023 Judgment and Order in Re Colomont, Inc. and Christopher Santee
Order Docket No. 23-21-I Tue, 12/12/2023 Order Approving Conversion of Granite Mutual Insurance Co to a Stock Insurance Co
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. 23-020-B Tue, 10/17/2023 ACI Payments, Inc.; ACI Worldwide Corp.
Order Docket No. 22-008-I Wed, 10/11/2023 BCBSVT, MVP Health Care and CIGNA Consent Order
Order Docket No. 23-015-I Mon, 10/09/2023 Affiliation of Blue Cross and Blue Shield of Vermont and Blue Cross Blue Shield of Michigan Mutual Insurance Company Approval Order
Order Docket No. 23-014-I Mon, 10/09/2023 Affiliation of Blue Cross and Blue Shield of Vermont and Blue Cross Blue Shield of Michigan Mutual Insurance Company Order
Order Docket No. 22-005-I Mon, 09/25/2023 Order of Default Judgment | Senior Health Insurance Company of Pennsylvania (SHIP) - Long-Term Care
Order Docket No. 23-012-S Mon, 07/31/2023 Alpenglow Advisors Stipulation and Consent Order
Order Docket No. 23-009-I Wed, 07/26/2023 Rausin Default Judgment and 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. 22-012-B | Extension Thu, 06/08/2023 High-Rate Mortgage Loan Disclosure Order
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. 23-005-B Wed, 04/26/2023 Express Tech-Financing, LLC 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