Proposed Rules and Regulations

Health Care Stop Loss Insurance - Regulation H-2009-02 (Revised)

The proposed rule updates the Department’s existing stop loss regulation to reflect changes in insurance laws, trends, and policies, and provides certain protections for small businesses by preventing the practice of lasering in stop loss policies.

The hearing date is July 8th, 2016, at 3 P.M. in the 3rd floor large conference at the Dept. of Financial Regulation, 89 Main Street, Montpelier.

For questions contact:  Emily Kisicki at 802-828-2904; email:  emily.g.kisicki@vermont.gov

The deadline for public comment is July 15, 2016.

Full text of the proposed regulation


Securities Rule No. S-2016-01

This rule establishes a comprehensive set of regulations to govern the sale of securities in the State of Vermont.  Chapter 1 establishes authority and definitions; Chapter 2 lists all materials incorporated by reference; Chapter 3 provides for the registration of Broker-Dealers and Broker-Dealer Agents; Chapter 4 outlines registration requirements for securities offerings; Chapter 5 exempts certain securities offerings from registration; Chapter 6 establishes rules for certain communications in securities transactions; Chapter 7 provides for the registration of Investment Advisers and Investment Adviser Representatives; and Chapter 8 provides for certain provisions that apply to all securities professionals.

The hearing date is Tuesday, March 22, 2016 at 10:00 a.m. in the 3rd floor large conference at the Dept. of Financial Regulation, 89 Main Street, Montpelier.

For questions contact:  Christopher Smith at 802-828-0727; email:  Christopher.Smith@vermont.gov.

The deadline for public comment is March 29, 2016.

Full text of the proposed regulation