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
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
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
Loading..
Close Window
Loading, Please Wait!
This may take a second or two.
