IA- Vermont Investment Adviser Surety Bond Form

The VT Investment Adviser Surety Bond Form is a representation that an investment adviser must be authorized to transact business in the state of Vermont.  The purpose of the Surety Bond is to ensure that an investment adviser adheres to the minimum bonding requirements pursuant to Vermont Securities Act, Title 9, Section 5411, Chapter 150.  Members also downloaded Vermont Affidavit of Investment Adviser Activity Form.

Version/Update: V.U/02/2012

Total Page Count/Format: 3/.pdf

Source/Author(s): Vermont Department of Financial Regulation