21VAC5-80-100. Updates and amendments.
An investment advisor representative shall amend or update Form U4 as information becomes inaccurate. A Form U4 must be filed within 30 days of an amendment or update. All filings shall be made in compliance with all requirements of CRD.
Statutory Authority
§§ 12.1-13 and 13.1-523 of the Code of Virginia.
Historical Notes
Derived from Rule 1103, Case No. SEC870040, eff. July 2, 1987; amended by Case No. SEC890040, eff. July 1, 1989; Virginia Register Volume 15, Issue 22, eff. July 1, 1999; Volume 17, Issue 20, eff. July 1, 2001; Volume 29, Issue 20, eff. June 3, 2013; Volume 41, Issue 24, eff. August 1, 2025.
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