§ 5203. Additional exemptions and waivers
A rule adopted or order issued under this chapter may exempt a security, transaction, or offer; a rule under this chapter may exempt a class of securities, transactions, or offers from any or all of the requirements of sections 5301 through 5306 and 5504 of this chapter; and an order under this chapter may waive, in whole or in part, any or all of the conditions for an exemption or offer under sections 5201 and 5202 of this chapter. (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