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Table of Contents » Title 21. Securities And Retail Franchising » Agency 5. State Corporation Commission, Division of Securities And Retail Franchising » Chapter 20. Broker-Dealers, Broker-Dealer Agents and Agents of the Issuer » Part I. Broker-Dealers » 21VAC5-20-50. Termination of registration.

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Virginia Administrative Code
Title 21. Securities And Retail Franchising
Agency 5. State Corporation Commission, Division of Securities And Retail Franchising
Chapter 20. Broker-Dealers, Broker-Dealer Agents and Agents of the Issuer

11/23/2024

21VAC5-20-50. Termination of registration.

A. When a FINRA member broker-dealer desires to terminate its registration, it shall file Form BDW in compliance with all requirements of CRD and in full compliance with the regulations prescribed by the commission.

B. Any non-FINRA member broker-dealer shall file a Form BDW with the commission at its Division of Securities and Retail Franchising.

Statutory Authority

§ 13.1-523 of the Code of Virginia.

Historical Notes

Derived from Rule 204, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC890040, eff. July 1, 1989; Volume 29, Issue 20, eff. June 3, 2013.

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