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 21VAC5-20-30 - Renewals
Current through Register Vol. 41, No. 3, September 23, 2024
A. To renew its registration, a FINRA member broker-dealer will be billed by CRD the statutory fee of $200 prior to the annual expiration date. A registration renewal shall be granted as a matter of course upon payment of the proper fee unless the registration was, or the renewal would be, subject to revocation under § 13.1-506 or nonrenewal under § 13.1-505E.
B. Any non-FINRA broker-dealer shall file with the commission at its Division of Securities and Retail Franchising the following items at least 30 days prior to the expiration of registration:
Statutory Authority
§§ 12.1-13 and 13.1-523 of the Code of Virginia.