Administrative Code

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Virginia Administrative Code
Title 21. Securities and Retail Franchising
Agency 5. State Corporation Commission, Division of Securities and Retail Franchising
6/21/2018

Chapter 20. Broker-Dealers, Broker-Dealer Agents and Agents of the IssuerRead Chapter

Section 10
Application for registration as a broker-dealer
Section 20
Expiration
Section 30
Renewals
Section 40
Updates and amendments
Section 50
Termination of registration
Section 60
Broker-dealer merger or consolidation
Section 65
Broker-dealer records retention requirements
Section 70
Examinations/qualifications
Section 80
Financial statements and reports
Section 85
Limited Canadian broker-dealer registration
Section 90
Application for registration as a broker-dealer agent
Section 95
Employment of an agent by more than one broker-dealer
Section 100
Expiration
Section 110
Renewals
Section 120
Updates and amendments
Section 130
Termination of registration
Section 135
Continuing commission by retiring agents
Section 140
Changing connection from one broker-dealer to another
Section 150
Examination/qualification
Section 155
Limited Canadian broker-dealer agent registration
Section 160
Application for registration as an agent of the issuer
Section 170
Expiration
Section 180
Renewals
Section 190
Updates and amendments
Section 200
Termination of registration
Section 210
Changing connection from one issuer to another
Section 220
Examination/qualification; waiver of examination requirement
Section 225
Inspection of records
Section 230
Notice of civil, criminal, administrative or arbitrational action
Section 240
Books and records of broker-dealers
Section 250
[Repealed]
Section 260
Supervision of agents
Section 270
[Repealed]
Section 280
Prohibited business conduct
Section 285
Customer notice for designated securities
Section 290
Financial responsibility
Section 300
Net worth
Section 310
Reserve requirements and custody of customer funds and securities
Section 320
Clerical or ministerial services
Section 330
Model rules for sales of securities at financial institutions
FORMS
FORMS (21VAC5-20)
DIBR
DOCUMENTS INCORPORATED BY REFERENCE (21VAC5-20)

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