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Rule for the Use of Senior-Specific Certifications and Professional Designations S

Type: 
Regulation
-
Name: 
S-2011-03
Effective Date: 
09-01-2011

 

This Rule sets forth standards to protect consumers from misleading and fraudulent marketing practices with respect to the use of senior-specific certifications and professional designations in the offer, sale, or purchase of securities or insurance, or in the providing of investment advice regarding securities or insurance.
 

Sales or Investment Advice Related to Securities Products by Insurance Producers

Type: 
Bulletin
-
Name: 
Securities Bulletin 1
Effective Date: 
06-15-2011

 

The Bulletin sets forth BISHCA's policies regarding the providing of investment advice by insurance producers. 

 

Michael T. Williams

Type: 
Order
-
Name: 
Docket No: 11-026-S
Effective Date: 
05-31-2011

Order imposing terms, conditions and undertaking in connection with registration under the Vermont Uniform Securities Act.

Robert Cully and Winslow, Evans & Crocker, Inc.

Type: 
Order
-
Name: 
Docket No: 11-008-S
Effective Date: 
03-14-2011

Order imposing terms, conditions and undertaking in connection with registration under the Vermont Uniform Securities Act.

Henry Corrao and EKN Financial Services, Inc.

Type: 
Order
-
Name: 
Docket# 11-07-S
Effective Date: 
02-05-2011

 

Statement: Order imposing terms, conditions, and undertakings in the connection with registration under the Vermont Uniform Securities Act.