Vermont Securities Regulations
Summary
The Vermont Department of Financial Regulation has updated its securities regulations. This revision pertains to Regulation S-2016-01, with a revised effective date of December 16, 2021.
What changed
The Vermont Department of Financial Regulation (DFR) has updated its securities regulations, specifically revising Regulation S-2016-01. The revised regulation was made effective on December 16, 2021, and is listed alongside other orders and bulletins on the DFR website.
This update signifies a minor amendment to existing state-level securities guidance. Regulated entities operating in Vermont, such as broker-dealers and financial advisers, should ensure they are aware of the revised Regulation S-2016-01 and incorporate any changes into their compliance procedures. No specific compliance deadline or penalty information is provided in this listing, indicating a routine update to existing rules.
What to do next
- Review Vermont DFR Regulation S-2016-01 for any changes impacting operations
- Ensure compliance with the revised regulation effective December 16, 2021
Source document (simplified)
DFR Regulations, Orders, Bulletins and Market Conduct Exams
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| Type | Name | Effective Date | Title |
| --- | --- | --- | --- |
| Regulation | Reg. S-2016-01 (Revised) | Thu, 12/16/2021 | Vermont Securities Regulations |
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