There is a newer version
of
this Chapter
2018 Vermont Statutes
Title 9 - Commerce and Trade
Chapter 150 - Securities Act
Subchapter 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 Repealed. 2017, No. 80, § 7.
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.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
