Dealer Requirements: Dealers are required to register with the state if they are to receive commission.

Filing Fees: $1.00 for each $1,000 if the aggregate amount of the offer which the applicant is seeking registration. The fee shall not be less than $250 nor shall it be more than $1,000.

Official Recognition: Yes

Forms: U-1, U-2, U-2A, U-7.

Instructions: Applicants are encouraged to meet with the Vermont Securities Division for a pre-filing conference.

Regulatory Contact:

Contact:
Securities Division

Address:
89 Main Street, Drawer 20
Montpelier VT 05620-3101
Phone:(802) 828-4857
Fax:(802) 828-2896
http://www.state.vt.us/bis (website)
phofling@bishca.state.vt.us (e-mail)

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