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 21VAC5-20-310 - Reserve requirements and custody of customer funds and securities
Universal Citation: 1 VA Admin Code 5-20-310
Current through Register Vol. 41, No. 3, September 23, 2024
All broker-dealer applicants and registrants subject to the net capital provisions of 21VAC5-20-290 B shall be required to prepare and maintain such records and accounts as specified in, and to comply in all other respects with, the provisions of Rule 15c3-3 under the Securities Exchange Act of 1934 ( 17 CFR 240.15c3 - 3).
Statutory Authority
§ 13.1-523 of the Code of Virginia.
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