Vermont Statutes
Chapter 150 - Securities Act
§ 5103. References to federal statutes

§ 5103. References to federal statutes
15 U.S.C. § 77a et seq. (Securities Act of 1933), 15 U.S.C. § 78a et seq. (Securities Exchange Act of 1934), 15 U.S.C. § 79 et seq. (Public Utility Holding Company Act of 1935), 15 U.S.C. § 80a-1 et seq. (Investment Company Act of 1940), 15 U.S.C. § 80b-1 et seq. (Investment Advisers Act of 1940), 29 U.S.C. § 1001 et seq. (Employee Retirement Income Security Act of 1974), 12 U.S.C. § 1701 et seq. (National Housing Act), 7 U.S.C. § 1 et seq. (Commodity Exchange Act), 26 U.S.C. § 1 et seq. (Internal Revenue Code), 15 U.S.C. § 78aaa et seq. (Securities Investor Protection Act of 1970), 112 Stat. 3227 (“Securities Litigation Uniform Standards Act of 1998”), 15 U.S.C. § 661 et seq. (Small Business Investment Act of 1958), and 15 U.S.C. § 7001 et seq. (Electronic Signatures in Global and National Commerce Act) mean those statutes and the rules and regulations adopted under those statutes, as in effect on the date of enactment of this chapter, or as later amended. (Added 2005, No. 11, § 1, eff. July 1, 2006.)

Structure Vermont Statutes

Vermont Statutes

Title 9 - Commerce and Trade

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