§ 5307. Waiver and modification
The Commissioner may waive or modify, in whole or in part, any or all of the requirements of sections 5302 and 5303 and subsection 5304(b) of this chapter or the requirement of any information or record in a registration statement or in a periodic report filed pursuant to subsection 5305(i) 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