S T A T E  O F  V E R M O N T
Department of Banking, Insurance, Securities
& Health Care Administration (BISHCA)
89 Main St.  Montpelier, VT 05620-3101    Main Phone:  802-828-3301 
Paulette J. Thabault, Commissioner

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NEW, RECENT

>Nov. 16, 2009 SaveandInvest.org - more investor resources.


 Have you been contacted by any of these? If so, call us.  Check List of Unregistered Soliciting Firms

> Dec. 22, 2008
Lessons from the Madoff Scandal:
How Good Investors Can Avoid Bad Characters  Tips from Vermont Securities Regulators

> Nov. 4, 2008
Vermont’s Insurance Guaranty Funds
How Vermonters are protected if an insurance company fails

RELATED LINKS:

> US Securities & Exchange Commission -- "The Investor's Advocate," offers investor assistance and complaints, current SEC rulemaking, etc.

> FINRA  Financial Industry Regulatory Authority -- a self-regulatory organization that was formed as a result of the merger between the NASD, Inc. and the New York Stock Exchange's regulatory function.

> SIFMA - Securities Industry Financial Markets Association -- a multi-resource securities industry site.

> The Investment Company Institute -- an organization representing mutual funds.

> North American Securities Administrators Association -- a national group of state securities regulators.

 
Securities Division  
www.vermontsecurities.info       www.vermontinvestorprotection.info
Thomas J. Candon, Deputy Commissioner
Main: 802-828-3420   Investor Protection/Education: Toll-free 1-877-550-3907
The Securities Division is charged with regulating the offer and sale of securities in the state of Vermont. Major responsibilities include: screening/registering securities offerings; screening/licensing brokerage firms and representatives; registering investment advisers and their representatives; enforcing the Vermont Securities Act; conducting on-site examinations of brokerage and investment firms and their representatives; handling consumer complaints; and educating consumers.
 CONSUMER HELP AND INFORMATION RESOURCES:
  General Consumer Assistance from the Securities Division - help with questions, problems or complaints, including Complaint Center with form and instructions for filing. 

Investor Education Resources - a collection of reference materials and links consumers can use to obtain explanations of investment practices and terms, and defend against investor fraud and abuse.
See Also: Upcoming Calendar of Events

Find a Registered Investment Professional - a periodically updated database of registered broker-dealer agents and investment advisor representatives working from Vermont locations. (Note: Investment professionals registered by the Vermont Securities Division but working from locations outside of Vermont are not included in this database.)  From this site, you may also perform a background check of an investment professional.
 
 REGULATIONS, BULLETINS: Securities Regulations, Bulletins, Enforcement / Registration Orders
   
INDUSTRY LICENSING OR REGISTRATION: 
INFORMATION, APPLICATIONS, FORMS, REPORT FILINGS   See a Quick Menu of Sites
   

Please Notice:

New REGULATION D, RULE 506 Filing Requirements Eff. Jan. 1, 2009
TAX CERTIFICATION FORM, Sept. 2009 for Broker/Dealers and Investment Advisers

Investment Adviser Registration: Instructions & Application Forms
Broker-Dealer Registration: Instructions & Application Forms

 
 SMALL BUSINESS RESOURCES
  Vermont Small Business Offering Exemption (VSBOE)
Small Business Capital Formation Resource Page
 

 CONTACT US
 

Consumers/investors may E-mail the Securities Division at wcarrigan@bishca.state.vt.us