§ 5101. Short title
§ 5101. Short title This chapter may be cited as the Vermont Uniform Securities Act (2002). (Added 2005, No. 11, § 1, eff. July 1, 2006.)
§ 5102. Definitions
§ 5102. Definitions In this chapter, unless the context otherwise requires: (1) “Agent” means an individual, other than a broker-dealer, who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities or represents an issuer in effecting or attempting to effect purchases or sales of the issuer’s securities. But a partner, […]
§ 5103. References to federal statutes
§ 5103. References to federal statutes 15 U.S.C. § 77a et seq. (Securities Act of 1933), 15 U.S.C. § 78a et seq. (Securities Exchange Act of 1934), 15 U.S.C. § 79 et seq. (Public Utility Holding Company Act of 1935), 15 U.S.C. § 80a-1 et seq. (Investment Company Act of 1940), 15 U.S.C. § 80b-1 […]
§ 5104. References to federal agencies
§ 5104. References to federal agencies A reference in this chapter to an agency or department of the United States is also a reference to a successor agency or department. (Added 2005, No. 11, § 1, eff. July 1, 2006.)
§ 5105. Electronic records and signatures
§ 5105. Electronic records and signatures This chapter modifies, limits, and supersedes 15 U.S.C. § 7001 et seq., but does not modify, limit, or supersede 15 U.S.C. § 7001(c) or authorize electronic delivery of any of the notices described in 15 U.S.C. § 7003(b). This chapter authorizes the filing of records and signatures, when specified […]