The Vermont Statutes Online

Title 9: Commerce and Trade

Chapter 150: SECURITIES ACT


NOTE: The Vermont Statutes Online is an unofficial copy of the Vermont Statutes Annotated, provided as a convenience. It has NOT been edited for publication, and is not in any way official or authoritative.


 
 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
 
 Sub-Chapter 2: Exemptions From Registration Of Securities
 
§ 5201   Exempt securities
§ 5202   Exempt transactions
§ 5203   Additional exemptions and waivers
§ 5204   Denial,suspension,revocation,condition,or limitations of exemptions
 
 Sub-Chapter 3: Registration Of Securities And Notice Filing Of Federal Covered Securities
 
§ 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
 
 Sub-Chapter 4: Broker-dealers, Agents, Investment Advisers, Investment Adviser Representatives, And Federal Covered Investment Advisers
 
§ 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
 
 Sub-Chapter 5: Fraud And Liabilities
 
§ 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
 
 Sub-Chapter 6: Administration And Judicial Review
 
§ 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

  • Full text of Chapter 150.