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
9/24/2018

Chapter 80. Investment AdvisorsRead Chapter

Section 10
Application for registration as an investment advisor and notice filing as a federal covered advisor
Section 20
Expiration
Section 30
Renewals
Section 40
Updates and amendments
Section 50
Termination of registration and notice filings
Section 60
Investment advisor merger or consolidation
Section 65
Investment advisor records retention requirements
Section 70
Application for registration as an investment advisor representative
Section 80
Expiration
Section 90
Renewals
Section 100
Updates and amendments
Section 110
Termination of registration
Section 120
Changing a connection from one investment advisor or federal covered advisor to another
Section 130
Examination/qualification
Section 140
[Repealed]
Section 145
[Repealed]
Section 146
Custody of client funds or securities by investment advisors
Section 150
Agency cross transactions
Section 160
Recordkeeping requirements for investment advisors
Section 170
Supervision of investment advisor representatives
Section 180
Requirements for surety bonds and financial reporting
Section 190
Disclosure requirements
Section 200
Dishonest or unethical practices
Section 210
Exclusions from definition of "investment advisor" and "federal covered advisor"
Section 215
Exemption for certain private advisors
Section 220
Performance based fees
Section 230
Clarification of investment advisor representative
Section 240
Investment advisor representative registration on behalf of other investment advisors or federal covered advisors
Section 250
Employment of investment advisor representative by more than one investment advisor or federal covered advisor
FORMS
FORMS (21VAC5-80)
DIBR
DOCUMENTS INCORPORATED BY REFERENCE (21VAC5-80)

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