The Vermont Statutes Online

Title 9: Commerce and Trade

Chapter 150: Securities Act

• Subchapter 001: General Provisions
•    § 5101. Short title

•    § 5102. Definitions

•    § 5103. References to federal statutes

•    § 5104. References to federal agencies

•    § 5105. Electronic records and signatures

• Subchapter 002: 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

• Subchapter 003: 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

• Subchapter 004: 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

• Subchapter 005: 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

• Subchapter 006: 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. 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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