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U.S. State Codes
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Vermont
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Title 9 - Commerce and Trade
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Chapter 150 - Securities Act
Chapter 150 - Securities Act
§ 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
§ 5616 Vermont Financial Services Education and Victim Restitution Special Fund