DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Datesort ascending Title
Order Docket No. 19-052-S Thu, 10/31/2019 Essex Securities LLC Stipulation and Consent Order
Order Docket No. 19-016-I Thu, 10/17/2019 Jason Torres Default Judgement and Order
Order Docket No. 18-054-I Tue, 10/15/2019 Matthew F Gains Default Judgement and Order
Order Docket No. 19-045-S Wed, 10/09/2019 Clearwater Investment Trust Order, No Action
Order Docket No. 19-044-I Mon, 10/07/2019 Permanent General Assurance Corporation Stipulation and Consent
Order Docket No. 19-036-S Wed, 10/02/2019 TrustToken, Inc. Stipulation and Consent Order
Order Docket No. 19-035-S Mon, 09/16/2019 LiquidPiston, Inc. Stipulation and Consent Order
Order Docket No. 19-042-S Tue, 09/10/2019 Broad Street Capital Markets LLC - Ex Parte Order to Cease and Desist
Bulletin WITHDRAWN - Insurance Bulletin #92 Wed, 09/04/2019 AIDS Testing Requirements (Withdrawn)
Order Docket No. 19-038-S Wed, 09/04/2019 Advanced Science Research Inc Stipulation and Consent Order
Bulletin Insurance Bulletin #138 (Revised) Wed, 09/04/2019 HIV Testing Information and Consent Forms (Revised)
Order Docket No. 19-021-S Thu, 08/29/2019 IBN Financial Services, Inc Stipulation And Consent Order
Order Docket No. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Regulation Reg. H-2009-04 (Revised) Thu, 08/15/2019 Medicare Supplement Insurance Minimum Standards Regulations
Order Docket No. 19-039-I Mon, 08/12/2019 Danjack Enterprises Stipulation and Consent Order
Regulation Reg. S-2016-01 (Revised) Mon, 08/12/2019 Vermont Securities Regulations
Order Docket No. 19-026-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (3)
Order Docket No. 19-024-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order
Order Docket No. 19-025-S Thu, 08/01/2019 375 North Avenue Stipulation and Consent Order (2)
Order Docket No. 19-037-I Wed, 07/31/2019 Small Association Leadership Alliance, et al Ex Parte Order To Cease And Desist
Order Docket No. 19-017-S Fri, 07/26/2019 Pantera Digital Asset Fund LP Stipulation and Consent Order
Regulation Reg. I-1990-01 (Revised) Tue, 07/23/2019 Rules Governing Intermunicipal Insurance Agreements
Order Docket No. 19-029-I Tue, 07/16/2019 In Re: Jack Trainham Ex Parte Order to Cease and Desist
Order Docket No. 19-023-I Tue, 07/02/2019 Order for the Acquisition of Control of WellCare Health Plans of Vermont, Inc. by Centene Corporation
Bulletin Banking Bulletin #49 Fri, 06/21/2019 Automated Teller Machine Disclosures

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Contact Information

Department of Financial Regulation
Commissioner Michael Pieciak
89 Main Street, Montpelier, VT 05620 - 3101
802-828-3301
833-DFR-HOTLINE

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For public records, media inquiries, and press releases visit our Public Information web page

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