VT DFR Bulletins & Orders

RBC Capital Markets, LLC - Consent Order

The Vermont Department of Financial Regulation has issued a consent order against RBC Capital Markets, LLC. The order addresses violations related to the firm's conduct and requires specific actions and potential penalties.

Arque Advisors, LLC - Consent Order

The Vermont Department of Financial Regulation issued a consent order against Arque Advisors, LLC for alleged violations of securities laws. The order requires Arque Advisors to cease and desist from certain activities and pay a settlement amount.

Insurance Bulletin on Rating Disabled Medicare Supplement Policyholders

The Vermont Department of Financial Regulation has revised Insurance Bulletin #208 concerning the rating of disabled Medicare supplement policyholders when they turn 65. The revision updates statutory references but maintains substantive requirements.