Vermont — Title 09 · 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
• § 5617 — Vermont Whistleblower Award and Protection Act