Proposed Rules and Regulations

Filing Rule for Federal Covered Securities described in Section 18(b)(4)(d) of the Securities Act of 1933

This rule, which provides the filing requirements for securities offered under Regulation D, Rule 506, is superseded by Vermont Securities Regulations S-2016-01.  The Vermont Securities Regulations establish a comprehensive set of regulations governing the sale of securities in the state of Vermont, including the Regulation D, Rule 506 filing requirements addressed by this rule.

Contact Info: Nicole Mazur 802-828-0030; nicole.mazur@vermont.gov

Deadline for Comment:  8/26/16

Public Hearing:  8/19/2016 10:00 A.M. 3rd floor large conference room, Department of Financial Regulation, 89 Main Street, Montpelier, VT, 05620

Full text of proposed regulation


 

Vermont Small Business Offerings

This rule, which provides the registration exemption and the filing requirements for Vermont small business offerings, is superseded by Vermont Securities Regulations S-2016-01.  The Vermont Securities Regulations establish a comprehensive set of regulations governing the sale of securities in the state of Vermont, including the registration exemption and the filing requirements for Vermont small business offerings addressed by this rule.

Contact Info: Nicole Mazur 802-828-0030; nicole.mazur@vermont.gov

Deadline for Comment:  8/26/16

Public Hearing:  8/19/2016 10:00 A.M. 3rd floor large conference room, Department of Financial Regulation, 89 Main Street, Montpelier, VT, 05620

Full text of proposed regulation


B-2016-01 Vermont Disclosure Form – Amount to be Financed in a Motor Vehicle Retail Installment Contract

The proposed rule modifies the Vermont Disclosure Form Relating to Amount Financed in a Motor Vehicle Retail Installment Contract required by 9 V.S.A.  § 2355(f)(1)(J) to clarify the calculation of “Cash Price” to ensure that the Vermont guidance is consistent with federal law.

The public hearing on the proposed rule will be held on August 4, 2016, at 11:00 A.M. in the 3rd floor large conference room at the Vermont Department of Financial Regulation, City Center, 89 Main Street, Montpelier, VT 05620-3101.

For questions please contact: Karla Nuissl at (802) 828-2963.

The deadline for public comment is August 12, 2016.

Full text of the proposed regulation