Virginia Administrative Code
Title 21 - SECURITIES AND RETAIL FRANCHISING
Agency 5 - STATE CORPORATION COMMISSION
Chapter 80 - INVESTMENT ADVISORS
Part III - Investment Advisor, Federal Covered Advisor, and Investment Advisor Representative Regulations
- Section 21VAC5-80-146 - Custody of client funds or securities by investment advisors
- Section 21VAC5-80-150 - Agency cross transactions
- Section 21VAC5-80-160 - Recordkeeping requirements for investment advisors
- Section 21VAC5-80-170 - Supervision of investment advisor representatives
- Section 21VAC5-80-180 - Requirements for surety bonds and financial reporting
- Section 21VAC5-80-190 - Disclosure requirements
- Section 21VAC5-80-200 - Dishonest or unethical practices
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