DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Name Effective Datesort ascending Title
Order Docket No. 16-029-I Wed, 09/07/2016 In Re: Brendan Mayworm Stipulation and Consent
Order Docket No. 16-022-S Tue, 09/06/2016 EKN Financial Services, Inc - Default Judgement and Order
Order Docket No. 16-021-S Thu, 09/01/2016 Obsidian Financial Group, LLC - Default Judgement and Order
Order Docket No. 16-020-S Thu, 09/01/2016 Aletheia Securities, Inc - Default Judgement and Order
Order Docket No. 16-027-S Thu, 08/25/2016 In Re: Gregory Lambesis - Stipulation and Consent
Bulletin Insurance Bulletin #190 Mon, 08/08/2016 NAIC Standard Valuation Law
Bulletin Banking Bulletin #43 (Withdrawn) Thu, 07/14/2016 WITHDRAWN - Automated Teller Machine Disclosures
Order Docket No. 15-024-I Thu, 07/07/2016 In Re: Interstate National Dealer - Stipulation and Consent
Order Docket No. 16-013-B Thu, 06/30/2016 In Re: PMAC Lending Services, Inc
Order Docket No. 16-024-I Tue, 06/28/2016 In Re: Stop Loss Attachment Points
Order Docket No. 16-017-I Mon, 06/27/2016 In Re: Ryan Moore - Stipulation and Consent
Order Docket No. 16-025-S Thu, 06/09/2016 Wells Fargo Advisors LLC
Order Docket No. 16-019-B Thu, 06/09/2016 In Re: Benaissance
Order Docket No. 16-026-S Sun, 06/05/2016 Raymond James and Associates - Consent Order
Order Docket No. 16-019-I Thu, 06/02/2016 In Re: Credit Card-Related Insurance Benefits
Order Docket No. 16-001-S Wed, 06/01/2016 Repealing In Part Order 06-023-S
Order Docket No. 16-010-B Mon, 05/23/2016 Prosper Marketplace Inc
Order Docket No. 16-016-B Thu, 05/19/2016 In Re: PayPal
Bulletin Insurance Bulletin #189 Mon, 04/04/2016 Non-Culmination Policy Provisions
Regulation Reg. I-2015-01 Wed, 03/30/2016 Corporate Governance Annual Disclosure
Order Docket No. 15-022-I Wed, 03/09/2016 In Re: Travelers - Stipulation and Consent
Order Docket No. 16-007-I Mon, 03/07/2016 In Re; Liberty Insurance - Stipulation and Consent
Bulletin Insurance Bulletin #188 Tue, 01/19/2016 Privacy Notices - Regulation IH-2001-01 - Use of Federal Model Privacy Form
Order Docket No. 16-008-I Wed, 01/06/2016 Phenix Mutual Fire Insurance - Stipulation and Consent
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order

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Contact Information

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

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