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This Page:
Regulations
Enforcement and Registration Orders of
Note
Bulletins
Archive
These on-line texts
were created for the use and convenience of the public, and should not be viewed
or relied upon as legal documents. While we do our best to ensure
accuracy, we cannot guarantee that the material is free of either
human or electronic error. Should you require official copies of any
regulations, please contact the Department.
For on-line text of Vermont State Statutes: Go to the
Vermont
State Statutes website.
While BISHCA related statutes are not all grouped together, the majority may be
found as follows: Banking and Insurance: Title 8; Securities Title 9; Chapter
150; Health Care Administration: Title 18, Chapter 221.
See also:
Proposed Regulations.
Questions:
Call 828-3420.
REGULATIONS
S-2008-01 Filing Rule for Federal Covered Securities described
in Section
18(b)(4)(D) of the Securities Act of 1933 (Eff. Jan. 1, 2009)
See also Securities Division
Notice regarding this rule.
Current Order
Order No. 06-43-S including All Exhibits
(PDF: 4368 KB)
Effective
July 1, 2006:
New Uniform Securities Act
Alternative version:
Order No. 06-43-S only
(PDF: 52KB) with hyperlinks to individual exhibits
Note: In this document, blue section numbers with underscores indicate a hyperlink to an associated exhibit. Black
text/underscores are merely attributes of the original
document text.
ENFORCEMENT AND REGISTRATION ORDERS OF
NOTE
Order #06-088-S Jan. 31, 2007
Re: Gary Sholtz
Pennsylvania man who
allegedly solicited $230,000 from Vermont investors ordered to cease
and desist from unregistered activity and is permanently barred from
registration in Vermont.
Order
#02-009-S Jan. 3, 2007
Re: Mitchell M. and Dorice A. Maynard
Former Colchester couple ordered to repay
investors $400,000 for securities fraud.
BULLETINS
07-1-S: Securities Laws Enacted During
the 2007 Legislative Session June 26, 2007
For Archival Reference:
Regulations, Bulletins and
Orders prior to July 1, 2006
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