Statement from Commissioner Pieciak: DFR staff continue to work remotely and will do so until further notice. The department is still conducting business, however there may be some temporary delays in DFR services. 

Notice Filing

Notice Filings:

Regulation D – Rule 506 Offerings 

Full requirements for Notice Filing of Regulation D – Rule 506 offerings can be found in 9 V.S.A. § 5302(c) and V.S.R. § 4-3(b).

  • All filings must be completed electronically through the Electronic Filing Depository (“EFD”). 
  • Initial filing: $600
  • Annual renewal for duration of offering: $600
  • Fees payable electronically through EFD

Investment company offerings

Full requirements regarding investment company offerings can be found in 9 V.S.A. 5302(a) and (f) and V.S.R. § 4-3(c).

  • Initial filing: $2,000 per share class
  • Annual renewal for duration of offering: $1,500 per share class
  • Form NF

Regulation A – Tier 2

  • Full Requirements for Notice Filing of Regulation A – Tier 2 offerings Can be found in V.S.R. § 4-3(d). 
  • Form Uniform Notice Filing of Regulation A-Tier 2 Offering
  • Initial filing: $600
  • Annual renewal for duration of offering: $600
  • Testing the Waters-Issuers may be able to gauge interest in a potential regulation A offering prior to registration.  Full Requirements can be found in V.S.R. § 6-4.

 

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Contact Information

Department of Financial Regulation
Consumer Services 
89 Main Street, Montpelier, VT 05620 - 3101

802-828-3301
833-DFR-HOTLINE (toll free)
833-337-4685 (toll free)

Public Information
For public records, media inquiries, and press releases visit our Public Information web page

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Employee Information