Securities

World Elder Abuse Awareness Day is June 15

June 12, 2019

Contact: Stephanie Brackin, Information Management Officer, 802-828-4872, stephanie.brackin@vermont.gov

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World Elder Abuse Awareness Day is June 15

Wed, 06/12/2019 - 12:00

Read more about World Elder Abuse Awareness Day is June 15

Opioid Conversation Starters for Investment Professionals

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Opioid Epidemic Guide for Investment Professionals

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dfr-insurance-life-recurring-issues

Wed, 06/12/2019 - 12:00

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The Department of Financial Regulation Releases First Set of EB-5 Documents as Part of Governor Phil Scott’s Disclosure Plan

March 28, 2019

Contact: Rebecca Kelley, Director of Communications, rebecca.kelley@vermont.gov, 802-828-6403

Read more about The Department of Financial Regulation Releases First Set of EB-5 Documents as Part of Governor Phil Scott’s Disclosure Plan

Fees

Effective July 1, 2024, securities notice filing fees and sales agent registration fees have increased per H.883, p.120.

Firms and Individuals
Initial and Renewal-Fees Are Non-Refundable
Broker-dealer firm--FINRA and non-FINRA	$300.00

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Vermont Surety Bond Form

Fri, 02/01/2019 - 12:00

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Investment Adviser Activity Affidavit

Tue, 01/11/2022 - 12:00

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Broker-Dealer Activity Affidavit

Fri, 02/01/2019 - 12:00

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