Subagency 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