There is a newer version of the Vermont Statutes
2013 Vermont Statutes
Title 09 Commerce and Trade
Chapter 150 SECURITIES ACT
Sub-Chapter 1: General Provisions
- § 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
- § 5613 Collection and disposition of fees
- § 5614 Recovery of expenses
- § 5615 Philanthropy protection act of 1995
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