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§ 5101. Short title - § 5101. Short title This chapter may be cited as...
§ 5102. Definitions - § 5102. Definitions In this chapter, unless the context otherwise...
§ 5103. References to federal statutes - § 5103. References to federal statutes 15 U.S.C. § 77a...
§ 5104. References to federal agencies - § 5104. References to federal agencies A reference in this...
§ 5105. Electronic records and signatures - § 5105. Electronic records and signatures This chapter modifies, limits,...
§ 5201. Exempt securities - § 5201. Exempt securities The following securities are exempt from...
§ 5202. Exempt transactions - § 5202. Exempt transactions The following transactions are exempt from...
§ 5203. Additional exemptions and waivers - § 5203. Additional exemptions and waivers A rule adopted or...
§ 5204. Denial, suspension, revocation, condition, or limitations of exemptions - § 5204. Denial, suspension, revocation, condition, or limitations of exemptions...
§ 5301. Securities registration requirement - § 5301. Securities registration requirement It is unlawful for a...
§ 5302. Notice filing - § 5302. Notice filing (a) With respect to a federal...
§ 5303. Securities registration by coordination - § 5303. Securities registration by coordination (a) A security for...
§ 5304. Securities registration by qualification - § 5304. Securities registration by qualification (a) A security may...
§ 5305. Securities registration filings - § 5305. Securities registration filings (a) A registration statement may...
§ 5306. Denial, suspension, and revocation of securities registration - § 5306. Denial, suspension, and revocation of securities registration (a)...
§ 5307. Waiver and modification - § 5307. Waiver and modification The Commissioner may waive or...
§ 5401. Broker-dealer registration requirement and exemptions - § 5401. Broker-dealer registration requirement and exemptions (a) It is...
§ 5402. Agent registration requirement and exemptions - § 5402. Agent registration requirement and exemptions (a) It is...
§ 5403. Investment adviser registration requirement and exemptions - § 5403. Investment adviser registration requirement and exemptions (a) It...
§ 5404. Investment adviser representative registration requirement and exemptions - § 5404. Investment adviser representative registration requirement and exemptions (a)...
§ 5405. Federal covered investment adviser notice filing requirement - § 5405. Federal covered investment adviser notice filing requirement (a)...
§ 5406. Registration by broker-dealer, agent, investment adviser, and investment adviser representative - § 5406. Registration by broker-dealer, agent, investment adviser, and investment...
§ 5407. Succession and change in registration of broker-dealer or investment adviser - § 5407. Succession and change in registration of broker-dealer or...
§ 5408. Termination of employment or association of agent and investment adviser representative and transfer of employment or association - § 5408. Termination of employment or association of agent and...
§ 5409. Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative - § 5409. Withdrawal of registration of broker-dealer, agent, investment adviser,...
§ 5410. Filing fees - § 5410. Filing fees (a) A person shall pay a...
§ 5411. Postregistration requirements - § 5411. Postregistration requirements (a) Subject to 15 U.S.C. §...
§ 5412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitations of registration - § 5412. Denial, revocation, suspension, withdrawal, restriction, condition, or limitations...
§ 5501. General fraud - § 5501. General fraud It is unlawful for a person,...
§ 5502. Prohibited conduct in providing investment advice - § 5502. Prohibited conduct in providing investment advice (a) It...
§ 5503. Evidentiary burden - § 5503. Evidentiary burden (a) In a civil action or...
§ 5504. Filing of sales and advertising literature - § 5504. Filing of sales and advertising literature (a) Except...
§ 5505. Misleading filings - § 5505. Misleading filings It is unlawful for a person...
§ 5506. Misrepresentations concerning registration or exemption - § 5506. Misrepresentations concerning registration or exemption The filing of...
§ 5507. Qualified immunity - § 5507. Qualified immunity A broker-dealer, agent, investment adviser, federal...
§ 5508. Criminal penalties - § 5508. Criminal penalties (a)(1) Upon conviction, any person shall...
§ 5509. Civil liability - § 5509. Civil liability (a) Enforcement of civil liability under...
§ 5510. Rescission offers - § 5510. Rescission offers (a) Unless a purchaser, seller, or...
§ 5601. Administration - § 5601. Administration (a) The Commissioner shall administer this chapter....
§ 5602. Investigations and subpoenas - § 5602. Investigations and subpoenas (a) The Commissioner may: (1)...
§ 5603. Civil enforcement - § 5603. Civil enforcement (a) If the Commissioner believes that...
§ 5604. Administrative enforcement - § 5604. Administrative enforcement (a) If the Commissioner determines that...
§ 5605. Rules, forms, orders, interpretative opinions, and hearings - § 5605. Rules, forms, orders, interpretative opinions, and hearings (a)...
§ 5606. Administrative files and opinions - § 5606. Administrative files and opinions (a) The Commissioner shall...
§ 5607. Public records; confidentiality - § 5607. Public records; confidentiality (a) Except as otherwise provided...
§ 5608. Uniformity and cooperation with other agencies - § 5608. Uniformity and cooperation with other agencies (a) The...
§ 5609. Judicial review - § 5609. Judicial review Any person aggrieved and directly affected...
§ 5610. Jurisdiction - § 5610. Jurisdiction (a) Sections 5301 and 5302, subsections 5401(a),...
§ 5611. Service of process - § 5611. Service of process (a) A consent to service...
§ 5612. Severability clause - § 5612. Severability clause If any provision of this chapter...
§ 5613. Collection and disposition of fees - § 5613. Collection and disposition of fees (a) The fees...
§ 5614. Recovery of expenses - § 5614. Recovery of expenses (a) Whenever it is necessary...
§ 5616. Vermont Financial Services Education and Victim Restitution Special Fund - § 5616. Vermont Financial Services Education and Victim Restitution Special...
§ 5617. Vermont Whistleblower Award and Protection Act - § 5617. Vermont Whistleblower Award and Protection Act (a) Purpose....