Code of Vermont Rules
Agency 21 - DEPARTMENT OF FINANCIAL REGULATION
Sub-Agency 030 - SECURITIES DIVISION
- Chapter 001 - VERMONT SECURITIES REGULATIONS (S-2016-01)
- Chapter 002 - REGULATION S-95-1 - INVESTMENT ADVISERS [AND INVESTMENT ADVISER REPRESENTATIVES]
- Chapter 003 - UNETHICAL OR DISHONEST PRACTICES OF BROKER/DEALERS AND SALES REPRESENTATIVES - REGULATION 91-1
- Chapter 004 - REGULATION S-2001-01: PRIVACY OF CONSUMER FINANCIAL AND HEALTH INFORMATION
- Chapter 005 - RULE NO. S-2008-01 - FILING RULE FOR FEDERAL COVERED SECURITIES DESCRIBED IN SECTION 18(B)(4)(D) OF THE SECURITIES ACT OF 1933
- Chapter 006 - RULE NO. SI-2011-03 - RULE FOR THE USE OF SENIOR-SPECIFIC CERTIFICATIONS AND PROFESSIONAL DESIGNATIONS
- Chapter 007 - VERMONT SMALL BUSINESS OFFERINGS
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