The Vermont Statutes Online
The Vermont Statutes Online does not include the actions of the 2024 session of the General Assembly. We expect them to be updated by November 1st.
NOTE: The Vermont Statutes Online is an unofficial copy of the Vermont Statutes Annotated that is provided as a convenience.
Title 9: Commerce and Trade
Chapter 150: Securities Act
- Subchapter 001: General Provisions
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§ 5101. Short title
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§ 5102. Definitions
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§ 5103. References to federal statutes
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§ 5104. References to federal agencies
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§ 5105. Electronic records and signatures
- Subchapter 002: Exemptions from Registration of Securities
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§ 5201. Exempt securities
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§ 5202. Exempt transactions
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§ 5203. Additional exemptions and waivers
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§ 5204. Denial, suspension, revocation, condition, or limitations of exemptions
- Subchapter 003: Registration of Securities and Notice Filing of Federal Covered Securities
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§ 5301. Securities registration requirement
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§ 5302. Notice filing
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§ 5303. Securities registration by coordination
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§ 5304. Securities registration by qualification
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§ 5305. Securities registration filings
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§ 5306. Denial, suspension, and revocation of securities registration
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§ 5307. Waiver and modification
- Subchapter 004: Broker-Dealers, Agents, Investment Advisers, Investment Adviser Representatives, and Federal Covered Investment Advisers
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§ 5401. Broker-dealer registration requirement and exemptions
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§ 5402. Agent registration requirement and exemptions
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§ 5403. Investment adviser registration requirement and exemptions
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§ 5404. Investment adviser representative registration requirement and exemptions
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§ 5405. Federal covered investment adviser notice filing requirement
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§ 5406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative
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§ 5407. Succession and change in registration of broker-dealer or investment adviser
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§ 5408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association
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§ 5409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative
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§ 5410. Filing fees
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§ 5411. Postregistration requirements
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§ 5412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitations of registration
- Subchapter 005: Fraud and Liabilities
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§ 5501. General fraud
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§ 5502. Prohibited conduct in providing investment advice
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§ 5503. Evidentiary burden
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§ 5504. Filing of sales and advertising literature
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§ 5505. Misleading filings
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§ 5506. Misrepresentations concerning registration or exemption
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§ 5507. Qualified immunity
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§ 5508. Criminal penalties
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§ 5509. Civil liability
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§ 5510. Rescission offers
- Subchapter 006: Administration and Judicial Review
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§ 5601. Administration
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§ 5602. Investigations and subpoenas
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§ 5603. Civil enforcement
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§ 5604. Administrative enforcement
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§ 5605. Rules, forms, orders, interpretative opinions, and hearings
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§ 5606. Administrative files and opinions
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§ 5607. Public records; confidentiality
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§ 5608. Uniformity and cooperation with other agencies
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§ 5609. Judicial review
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§ 5610. Jurisdiction
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§ 5611. Service of process
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§ 5612. Severability clause
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§ 5613. Collection and disposition of fees
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§ 5614. Recovery of expenses
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§ 5615. Repealed. 2017, No. 80, § 7.
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§ 5616. Vermont Financial Services Education and Victim Restitution Special Fund
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§ 5617. Vermont Whistleblower Award and Protection Act