Skip to main content

DFR Regulations, Orders, Bulletins and Market Conduct Exams

Regulation Bulletins
Type Name Effective Date Title Sort descending
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. 23-CV-04806 Thu, 11/16/2023 Assurance of Voluntary Compliance Morgan Stanley Smith Barney LLC
Order Docket No. 22-019-I Fri, 06/24/2022 Audio-Only Telephone Services Order
Order Docket No. 21-049-S Tue, 09/13/2022 Avantax Stipulation and Consent Order
Order Docket No. 22-007-B Wed, 03/16/2022 Bank of Burlington - Order Granting Permission to Organize as an Investor-Owned Universal Financial Institution
Order Docket No. 17-030-S Wed, 11/08/2017 Bankers Life and Casualty
Order Docket No. 12-023-I Wed, 02/13/2013 Bankers Life Stipulation and Consent Order
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order BB&T -22-013-B Mon, 07/25/2022 BB&T Commercial Equipment Capital Corporation Default Judgment and Order
Order Docket No. 19-007-I Thu, 02/07/2019 BCBSVT Risk Based Capital Order
Order Docket No. 22-008-I Wed, 10/11/2023 BCBSVT, MVP Health Care and CIGNA Consent Order
Order Docket No. 22-039-I Mon, 03/06/2023 Beckner Default Judgment and Order
Order Docket No. 22-042-I Mon, 03/06/2023 Beeson Default Judgment and Order
Order Docket No. 22-032-I Thu, 12/22/2022 Bellamy Default Judgment and Order
Order Docket No. 20-017-S Wed, 03/18/2020 Benchmark Company Stipulation and Consent
Order Docket No. 21-034-I Fri, 11/05/2021 Benjamin Feick Default Judgment and Order
Order Docket No. 20-030-I Tue, 11/03/2020 Benjamin Scherer Ex Parte Order Suspending License
Order Docket No. 20-033-B Fri, 11/13/2020 Bitstamp LTD Stipulation and Consent Order
Order Docket No. 21-025-S Mon, 02/14/2022 BlockFi Consent Order
Order Docket No. 21-025-S Mon, 07/26/2021 BlockFI Show Cause Order
Order Docket No. 13-020-B Mon, 09/16/2013 Brandon Maddick - Order
Order Docket No. 21-016-I Mon, 07/26/2021 Brittney McCutcheon Default Judgment and Order
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Order Docket No. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 22-038-I Mon, 03/06/2023 Caldwell Default Judgment and Order