PocketLaw | Vermont Statutes | Securities Act

Securities Act

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Short title

Definitions

References to federal statutes

References to federal agencies

Electronic records and signatures

Exempt securities

Exempt transactions

Additional exemptions and waivers

Denial, suspension, revocation, condition, or limitations of exemptions

Securities registration requirement

Notice Filing

Securities registration by coordination

Securities registration by qualification

Securities registration filings

Denial, suspension, and revocation of securities registration

Waiver and modification

Broker-dealer registration requirement and exemptions

Agent registration requirement and exemptions

Investment adviser registration requirement and exemptions

Investment adviser representative registration requirement and exemptions

Federal covered investment adviser notice filing requirement

Registration by broker-dealer, agent, investment adviser, and investment adviser representative

Succession and change in registration of broker-dealer or investment adviser

Termination of employment or association of agent and investment adviser representative and transfer of employment or association

Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative

Filing fees

Postregistration requirements

Denial, revocation, suspension, withdrawal, restriction, condition, or limitations of registration

General fraud

Prohibited conduct in providing investment advice

Evidentiary burden

Filing of sales and advertising literature

Misleading filings

Misrepresentations concerning registration or exemption

Qualified immunity

Criminal penalties

Civil liability

Rescission offers

Administration

Investigations and subpoenas

Civil enforcement

Administrative enforcement

Rules, forms, orders, interpretative opinions, and hearings

Administrative files and opinions

Public records; confidentiality

Uniformity and cooperation with other agencies

Judicial review

Jurisdiction

Service of process

Severability clause

Collection and disposition of fees

Recovery of expenses

Repealed. 2017, No. 80, § 7.

Vermont Financial Services Education and Victim Restitution Special Fund