§ 5104. References to federal agencies
A reference in this chapter to an agency or department of the United States is also a reference to a successor agency or department. (Added 2005, No. 11, § 1, eff. July 1, 2006.)
Structure Vermont Statutes
§ 5103. References to federal statutes
§ 5104. References to federal agencies
§ 5105. Electronic records and signatures
§ 5203. Additional exemptions and waivers
§ 5204. Denial, suspension, revocation, condition, or limitations of exemptions
§ 5301. Securities registration requirement
§ 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
§ 5407. Succession and change in registration of broker-dealer or investment adviser
§ 5411. Postregistration requirements
§ 5502. Prohibited conduct in providing investment advice
§ 5504. Filing of sales and advertising literature
§ 5506. Misrepresentations concerning registration or exemption
§ 5602. Investigations and subpoenas
§ 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
§ 5613. Collection and disposition of fees
§ 5616. Vermont Financial Services Education and Victim Restitution Special Fund