Virginia Administrative Code
Title 21 - SECURITIES AND RETAIL FRANCHISING
Agency 5 - STATE CORPORATION COMMISSION
Chapter 80 - INVESTMENT ADVISORS
Part V - Miscellaneous
Section 21VAC5-80-230 - Clarification of investment advisor representative
Universal Citation: 1 VA Admin Code 5-80-230
Current through Register Vol. 41, No. 3, September 23, 2024
For purposes of clause (iv) of the definition of "investment advisor representative" in § 13.1-501 of the Act, an individual is deemed to have prepared reports or analyses concerning securities if that individual is identified to a client as having prepared such reports or analyses.
Statutory Authority
§ 13.1-523 of the Code of Virginia.
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