Vermont law

Securities & Finance Laws in Vermont.

Vermont securities are regulated by the Department of Financial Regulation, Securities Division, under 9 V.S.A. ch. 150 (the Vermont Uniform Securities Act). Vermont is also home to one of the most developed state-level captive-insurance regulatory frameworks in the world under 8 V.S.A. ch. 141, making it a significant financial-services practice center despite its small population. Federal securities laws continue to govern primary public offerings and regulated issuers.

Last verified: 2026-04-20

State law

Key Vermont Statutes

Vermont Uniform Securities Act9 V.S.A. ch. 150

Vermont's enactment of the Uniform Securities Act — covering registration of securities, broker-dealers, and investment advisers, and anti-fraud enforcement.

Vermont Captive Insurance Companies8 V.S.A. ch. 141

Vermont's captive-insurance statute — framework for the world's largest captive domicile by captive count (outside of offshore jurisdictions).

State law

Official Sources

Vermont Department of Financial Regulation — Securities Division SEC EDGAR

Not Legal Advice

This page summarizes publicly available statutes and rules for informational purposes only. It does not constitute legal advice, and no attorney-client relationship is created by viewing this content. Laws change — always verify with the primary source or consult a licensed attorney in Vermont.

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Securities & Finance Laws in Vermont.

Key Vermont Statutes

Official Sources

Not Legal Advice

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