Vermont

  • Vermont is a merit jurisdiction.
  • Vermont accepts the Uniform Application to Register Securities (Form U1), and does allow for electronic signature of forms.
  • Registration of Tier I offerings requires filing or delivery of:
    • Filing fee
    • SEC Form 1-A with exhibits
    • A copy of the latest form of prospectus
    • Form U-1
    • Form U-2 and, if applicable, Form U-2A
    • Articles of incorporation
  • Notice Filing of Tier II offerings requires filing or delivery of:
    • Filing fee
    • Regulation A – Tier 2 Notice Filing Form
    • Copies of all documents filed with the SEC.
  • Vermont requires a fee of $600 for each type or class of security offered.
  • Fees should be made payable to “Vermont Department of Financial Regulation.” Payment should be sent to the following address:
Mailing Address:  Courier Address:
Vermont Department of Financial Regulation
89 Main Street, Floor 2
Montpelier, VT 05620
Vermont Department of Financial Regulation
89 Main Street, Floor 2
Montpelier, VT 05620
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