State Codes and Statutes

State Codes and Statutes

Statutes > Vermont > Title-09 > Chapter-150

§ 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 -   Philanthropy protection act of 1995