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Virginia Administrative Code
Title 21. Securities And Retail Franchising
Title 21. Securities And Retail Franchising
Agency 5. State Corporation Commission, Division of Securities And Retail Franchising
11/21/2024

Chapter 80.
Investment Advisors
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  • Part I.
    Investment Advisor Registration, Notice Filing for Federal Covered Advisors, Expiration, Renewal, Updates and Amendments, Terminations and Merger or Consolidation
    Read all
    • 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
  • Part II.
    Investment Advisor Representative Registration, Expiration, Updates and Amendments, Termination, and Changing Connection from One Investment Advisor to Another
    Read all
    • 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    [Repealed]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    [Repealed]
  • Part III.
    Investment Advisor, Federal Covered Advisor, and Investment Advisor Representative Regulations
    Read all
    • 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
  • Part V.
    Miscellaneous
    Read all
    • 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
    Section 260
    Information security and privacy
FORMS
FORMS (21VAC5-80)
DIBR
DOCUMENTS INCORPORATED BY REFERENCE (21VAC5-80)

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