DFR Regulations, Orders, Bulletins and Market Conduct Exams

Type Namesort descending Effective Date Title
Bulletin Banking Bulletin #49 Fri, 06/21/2019 Automated Teller Machine Disclosures
Bulletin Captive Bulletin C-2014-01 Thu, 01/09/2014 Guidance for Special Purpose Financial Insurers
Bulletin Captive Bulletin C-2015-01 Mon, 06/15/2015 Maintaining Regulatory Minimum Capital and Surplus Requirements
Bulletin DFR Bulletin #3 (Withdrawn) Fri, 06/05/2020 WITHDRAWN - Security Breach Notice Act
Bulletin DFR Bulletin #4 Fri, 06/05/2020 Security Breach Notice Act Bulletin
Order Docket No. 19-034-S Fri, 08/23/2019 IN RE: Escondido Village 388 DE Stipulation and Consent Order
Order Docket No. 03-038-I Wed, 12/01/2004 John Hancock Life Insurance Company Consent Order
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. 10-002-S Fri, 01/08/2010 Lincoln Financial Securities Consent Order
Order Docket No. 10-028-S Thu, 03/04/2010 Lisa Graves Consent Order
Order Docket No. 10-029-S Mon, 04/19/2010 UBS Securities Consent Order
Order Docket No. 10-030-S Wed, 04/28/2010 Wells Fargo Investments Consent Order
Order Docket No. 10-031-S Mon, 04/05/2010 Stifel, Nicolaus and Co Consent Order
Order Docket No. 10-032-S Tue, 04/27/2010 Goldman Sachs Consent Order
Order Docket No. 10-038-S Wed, 05/05/2010 Van Hamm and Meyers Associates Consent Order
Order Docket No. 10-052-S Wed, 06/09/2010 Buglisi and Rockwell Global Capital Consent Order
Order Docket No. 10-080-S Thu, 09/23/2010 Electronic Notice Filing of Certain Federal Covered Securities with Vermont
Order Docket No. 11-007-S Sun, 02/13/2011 Henry Corrao and EKN Financial Services
Order Docket No. 11-008-S Fri, 03/04/2011 Robert Cully and Winslow, Evans & Crocker
Order Docket No. 11-026-S Tue, 05/31/2011 Michael Williams Stipulation and Consent Order
Order Docket No. 12-002-I Thu, 06/04/2015 In Re: National Motor Club Order to Cease and Desist
Order Docket No. 12-003-S Thu, 01/19/2012 Barry Cassese and KC Ward Financial
Order Docket No. 12-005-I Fri, 04/20/2012 In Re: Roy Allen Gray Default Judgement and Order
Order Docket No. 12-006-I Fri, 04/20/2012 In Re: Kevin Whitney
Order Docket No. 12-007-I Fri, 04/20/2012 In Re: Roland Matatics Default Judgement and Order

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Department of Financial Regulation
Consumer Services 
89 Main Street, Montpelier, VT 05620 - 3101

802-828-3301
833-DFR-HOTLINE (toll free)
833-337-4685 (toll free)

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