Vermont StatutesChapter 150 - SECURITIES ACT (Contains: §§ 5101 – 5615)
- § 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