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 21VAC5-20-240 - Books and records of broker-dealers
Universal Citation: 1 VA Admin Code 5-20-240
Current through Register Vol. 41, No. 3, September 23, 2024
Every broker-dealer registered or required to be registered under the Act shall make and keep true, accurate and current, and preserve the books and records relating to its business, as are described in SEC Rules 17a-3 (17 CFR 240.17a-3) and 17a-4 ( 17 CFR 240.17a-4) , or Municipal Securities Rule Making Board (MSRB) Rules G7 and G8.
Statutory Authority
§§ 12.1-13 and 13.1-523.1 of the Code of Virginia.
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