Subchapter

BROKER-DEALERS, AGENTS, INVESTMENT ADVISERS, INVESTMENT ADVISER REPRESENTATIVES, AND FEDERAL COVERED INVESTMENT ADVISERS

Vt. Stat. Ann. tit. 9, § 5401— Broker-dealer registration requirement and exemptions
Vt. Stat. Ann. tit. 9, § 5402— Agent registration requirement and exemptions
Vt. Stat. Ann. tit. 9, § 5403— Investment adviser registration requirement and exemptions
Vt. Stat. Ann. tit. 9, § 5404— Investment adviser representative registration requirement and exemptions
Vt. Stat. Ann. tit. 9, § 5405— Federal covered investment adviser notice filing requirement
Vt. Stat. Ann. tit. 9, § 5406— Registration by broker-dealer, agent, investment adviser, and investment adviser representative
Vt. Stat. Ann. tit. 9, § 5407— Succession and change in registration of broker-dealer or investment adviser
Vt. Stat. Ann. tit. 9, § 5408— Termination of employment or association of agent and investment adviser representative and transfer of employment or association
Vt. Stat. Ann. tit. 9, § 5409— Withdrawal of registration of broker-dealer, agent, investment adviser, and investment representative
Vt. Stat. Ann. tit. 9, § 5410— Filing fees
Vt. Stat. Ann. tit. 9, § 5411— Postregistration requirements
Vt. Stat. Ann. tit. 9, § 5412— Denial, revocation, suspension, withdrawal, restriction, condition, or limitations of registration