Chapter 5. Securities ActRead Chapter
- Article 1. DefinitionsRead all
- § 13.1-501
- Definitions
- Article 2. Unlawful PracticesRead all
- § 13.1-502
- Unlawful offers and sales
- § 13.1-503
- Unlawful advice
- Article 3. Brokers-Dealers, Investment Advisors, Investment Advisor Representatives and AgentsRead all
- § 13.1-504
- Registration
- § 13.1-504.1
- Brokerage services of savings and loan associations, savings banks or service corporations of either; when registration not required
- § 13.1-504.2
- Broker-dealer services provided by credit unions; when registration not required
- § 13.1-505
- Procedure for registration
- § 13.1-505.1
- Post-registration provisions
- § 13.1-506
- Revocation of registration
- Article 4. Registration of SecuritiesRead all
- § 13.1-507
- Registration requirement; exemptions
- § 13.1-508
- Registration by notification
- § 13.1-509
- Registration by coordination
- § 13.1-510
- Registration by qualification
- § 13.1-511
- Effectiveness and reports
- § 13.1-512
- Repealed
- § 13.1-513
- Stop orders
- Article 5. MiscellaneousRead all
- § 13.1-514
- Exemptions
- § 13.1-514.1
- Exemption of certain securities by order of Commission
- § 13.1-514.2
- Primacy of Virginia law to be maintained
- § 13.1-515
- Advertising
- § 13.1-516
- Misleading filings
- § 13.1-517
- Consent to service of process
- § 13.1-518
- Investigations; confidentiality of information and documents
- § 13.1-518.1
- Broker-dealers and investment advisors to file certain reports with Commission
- § 13.1-519
- Injunctions
- § 13.1-520
- Crimes
- § 13.1-520.1
- Commission may transmit record or complaint to locality where violation occurred
- § 13.1-521
- Violations punishable by the Commission
- § 13.1-522
- Civil liabilities
- § 13.1-523
- Rules and forms
- § 13.1-523.1
- Commission authority to regulate securities and investment advisory activities
- § 13.1-524
- Certain records of Commission available to public; admissibility of copies; destruction
- § 13.1-525
- Official interpretations
- § 13.1-525.1
- Fees to cover expense of regulation
- § 13.1-526
- Transition
- § 13.1-527
- Short title
- § 13.1-527.01
- Repealed
- Article 6. Division of Securities CounselRead all
- § 13.1-527.1
- Division created; duties
- § 13.1-527.2
- Attorneys, employees and consultants
- § 13.1-527.3
- Commission to provide technical assistance
