Vermont Statutes
Chapter 150 - Securities Act
§ 5505. Misleading filings

§ 5505. Misleading filings
It is unlawful for a person to make or cause to be made, in a record that is used in an action or proceeding or filed under this chapter, a statement that, at the time and in the light of the circumstances under which it is made, is false or misleading in a material respect, or, in connection with the statement, to omit to state a material fact necessary to make the statement made, in the light of the circumstances under which it was made, not false or misleading. (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