- 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 |
