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2023 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.
- § 5616. Vermont Financial Services Education and Victim Restitution Special Fund
- § 5617. Vermont Whistleblower Award and Protection Act
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