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Securities division emphasizes investor protection, scams outreach and restitution to victims
Summary
Deputy Commissioner Amanda Smith told the committee Vermont’s securities division enforces the Vermont Uniform Securities Act, conducts exams and investigations, pursues restitution in enforcement actions and runs outreach like fraud 'bingo' for seniors.
Deputy Commissioner Amanda Smith told the House Commerce & Economic Development Committee on Jan. 15, 2025, that the Securities Division enforces the Vermont Uniform Securities Act, registers broker‑dealers and investment advisers, conducts examinations, and pursues enforcement actions prioritizing investor restitution.
"The core objective of our laws is investor protection," Smith said, summarizing registration, examination and…
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