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 IV - Broker-Dealer and Agent Regulations
- Section 21VAC5-20-230 - Notice of civil, criminal, administrative or arbitrational action
- Section 21VAC5-20-240 - Books and records of broker-dealers
- Section 21VAC5-20-250 - Repealed
- Section 21VAC5-20-260 - Supervision of agents
- Section 21VAC5-20-270 - Repealed
- Section 21VAC5-20-280 - Prohibited business conduct
- Section 21VAC5-20-285 - Customer notice for designated securities
- Section 21VAC5-20-290 - Financial responsibility
- Section 21VAC5-20-300 - Net worth
- Section 21VAC5-20-310 - Reserve requirements and custody of customer funds and securities
- Section 21VAC5-20-320 - Clerical or ministerial services
- Section 21VAC5-20-330 - Model rules for sales of securities at financial institutions
- Form - FORMS (21VAC5-20)
- Section - DOCUMENTS INCORPORATED BY REFERENCE (21VAC5-20)
Disclaimer: These regulations may not be the most recent version. Virginia may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google
Privacy Policy and
Terms of Service apply.
