The Vermont Uniform Securities Act Protects Investors in These Ways:

It prohibits fraud or misrepresentation in connection with the offer or sale of securities.

It requires that broker/dealers be licensed, and that certain investment offerings be registered and reviewed for conformance with the law. Investment advisers must also register. The registration process protects consumers by screening applicants for any prior records of violations of Securities law, improper business dealings or poor character. Investments offerings are reviewed for conformance with the law.

It allows the Division to prosecute violators and affords certain remedies to harmed consumers. It also allows consumers the right of private action in court to recover their losses.

Contact the Securities Division for the following resources and assistance:

  Obtain assistance if you have a securities related problem that you have been unable to resolve on your own.
Go to Consumer Complaint Center.

Request free guides for investors and business owners on a variety of consumer and regulatory subjects.
Call 1-877-550-3907  or  E-mail Securities Division

Request an investor education seminar for your group or association.
Call 1-877-550-3907  or  E-mail Securities Division

Perform a record check or request background information about a securities offering, a broker-dealer, or investment adviser.
Call 1-877-550-3907 or see online registry

Report questionable dealings or sales activities. The Division appreciates  the public's help in derailing fraud.
Call 1-877-550-3907  or  E-mail Securities Division