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 II - Broker-Dealer Agents
Section 21VAC5-20-120 - Updates and amendments
Universal Citation: 1 VA Admin Code 5-20-120
Current through Register Vol. 41, No. 3, September 23, 2024
A broker-dealer agent shall amend or update Form U4 as required by the "Amendment Filings" provisions set forth under "How to Use Form U4." All filings shall be made on CRD for agents of FINRA member firms or with the commission at its Division of Securities and Retail Franchising for all other broker-dealer agents.
Statutory Authority
§§ 12.1-13 and 13.1-523 of the Code of Virginia.
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