DFR Regulations, Orders, Bulletins and Market Conduct Exams

Typesort descending Name Effective Date Title
Order Docket No. 13-040-I Wed, 11/06/2013 In Re: Lorraine Locke - Stipulation and Consent
Order Docket No. 21-033-I Fri, 11/05/2021 Kristina Chamis Default Judgement and Order
Order Docket No. 17-013-B Mon, 05/08/2017 North American Securities Administrators Association
Order Docket No. 10-002-S Fri, 01/08/2010 Lincoln Financial Securities Consent Order
Order Docket No. 19-003-S Fri, 03/08/2019 In RE: Flipside Cryto, Active Eight LLC
Order Docket No. 20-016-S Wed, 03/18/2020 Fairholme Stipulation and Consent Order
Order Docket No. 18-020-S Fri, 05/03/2019 Harris, Weigand, and Global Mining Default Judgement and Order
Order Docket No. 22-011-S Fri, 06/17/2022 Chadwick Stipulation and Interim Consent Order
Order Docket No. 15-040-B Mon, 11/09/2015 Prospect Mortgage, LLC - Settlement Agreement and Order
Order Docket No. 20-004-I Tue, 01/14/2020 Union Mutual Fire Insurance Company Stipulation and Consent
Order Docket No. 13-031-I Tue, 10/22/2013 Dairyland Insurance - Stipulation and Consent
Order Docket No. 21-039-I Mon, 11/22/2021 Ronald Sims Default Order and Judgement
Order Docket No. 17-001-I Thu, 02/09/2017 YourPeople, Inc
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. 19-004-S Thu, 03/14/2019 In RE: Flipside Cryto, Managed 9 LLC
Order Docket No. 20-033-B Fri, 11/13/2020 Bitstamp LTD Stipulation and Consent Order
Regulation Reg. I-1997-05 (Revised) Thu, 01/01/2004 Mutual Insurance Holding Companies
Regulation Reg. I-1979-02 (Revised) Sun, 07/01/2018 Fair Claims Practices
Regulation Reg. C-1981-02 (Revised) Thu, 06/01/2017 Captive Insurance Financial Regulation
Regulation Reg. I-2007-02 Thu, 05/01/2008 Limited Lines Producer License for Credit Insurance
Regulation Reg. I-1998-01 Mon, 03/01/1999 Life Insurance Illustrations Regulation
Regulation Reg. H-2021-02-E Wed, 12/08/2021 At Home Covid-19 Antigen Test Coverage
Regulation Reg. I-1971-02 (Revised) Thu, 12/25/2014 Insurance Holding Company Systems
Regulation Reg. S-2016-01 (Revised) Thu, 12/16/2021 Vermont Securities Regulations
Regulation Reg. I-2007-01 Thu, 05/01/2008 Business Entity Limited Lines Producer License for Credit Insurance

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

802-828-3301
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833-337-4685 (toll free)

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