Vermont Securities Regulation Revised

The Vermont Department of Financial Regulation has revised Regulation S-2016-01, updating the state's securities regulatory framework that governs broker-dealers, investment advisers, and securities issuers conducting business in Vermont. The revised regulation, effective April 10, 2026, may address registration procedures, exemptions, reporting requirements, or fee structures.

Affected parties including broker-dealers, investment advisers, and securities issuers should review the updated regulation to ensure compliance with current Vermont securities requirements. Compliance officers should assess whether existing registration, reporting, or operational procedures require modification under the revised framework.