Virginia Administrative Code
Title 21 - SECURITIES AND RETAIL FRANCHISING
Agency 5 - STATE CORPORATION COMMISSION
Chapter 20 - BROKER-DEALERS, BROKER-DEALER AGENTS AND AGENTS OF THE ISSUER
Part I - Broker-Dealers
- Section 21VAC5-20-10 - Application for registration as a broker-dealer
- Section 21VAC5-20-20 - Expiration
- Section 21VAC5-20-30 - Renewals
- Section 21VAC5-20-40 - Updates and amendments
- Section 21VAC5-20-50 - Termination of registration
- Section 21VAC5-20-60 - Broker-dealer merger or consolidation
- Section 21VAC5-20-65 - Broker-dealer records retention requirements
- Section 21VAC5-20-70 - Examinations/qualifications
- Section 21VAC5-20-80 - Financial statements and reports
- Section 21VAC5-20-85 - Limited Canadian broker-dealer registration
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