There is a newer version of the Vermont Statutes
2005 Vermont Code - Chapter 150 — SECURITIES ACT (contains §§ 5101 – 5612)
- § 5101. — Short title
- § 5102. — Definitions
- § 5103. — References to federal statutes
- § 5104. — References to federal agencies
- § 5105. — Electronic records and signatures
- § 5201. — Exempt securities
- § 5202. — Exempt transactions
- § 5203. — Additional exemptions and waivers
- § 5204. — Denial, suspension, revocation, condition, or limitations of exemptions
- § 5301. — Securities registration requirement
- § 5302. — Notice filing
- § 5303. — Securities registration by coordination
- § 5304. — Securities registration by qualification
- § 5305. — Securities registration filings
- § 5306. — Denial, suspension, and revocation of securities registration
- § 5307. — Waiver and modification
- § 5401. — Broker-dealer registration requirement and exemptions
- § 5402. — Agent registration requirement and exemptions
- § 5403. — Investment adviser registration requirement and exemptions
- § 5404. — Investment adviser representative registration requirement and exemptions
- § 5405. — Federal covered investment adviser notice filing requirement
- § 5406. — Registration by broker-dealer, agent, investment adviser, and investment adviser representative
- § 5407. — Succession and change in registration of broker-dealer or investment adviser
- § 5408. — Termination of employment or association of agent and investment adviser representative and transfer of employment or association
- § 5409. — Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative
- § 5410. — Filing fees
- § 5411. — Postregistration requirements
- § 5412. — Denial, revocation, suspension, withdrawal, restriction, condition, or limitations of registration
- § 5501. — General fraud
- § 5502. — Prohibited conduct in providing investment advice
- § 5503. — Evidentiary burden
- § 5504. — Filing of sales and advertising literature
- § 5505. — Misleading filings
- § 5506. — Misrepresentations concerning registration or exemption
- § 5507. — Qualified immunity
- § 5508. — Criminal penalties
- § 5509. — Civil liability
- § 5510. — Rescission offers
- § 5601. — Administration
- § 5602. — Investigations and subpoenas
- § 5603. — Civil enforcement
- § 5604. — Administrative enforcement
- § 5605. — Rules, forms, orders, interpretative opinions, and hearings
- § 5606. — Administrative files and opinions
- § 5607. — Public records; confidentiality
- § 5608. — Uniformity and cooperation with other agencies
- § 5609. — Judicial review
- § 5610. — Jurisdiction
- § 5611. — Service of process
- § 5612. — Severability clause
Disclaimer: These codes may not be the most recent version. Vermont may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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