21 Va. Admin. Code § 5-20-240 - Books and records of broker-dealers

Current through Register Vol. 38, No. 3, September 27, 2021

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.

Notes

21 Va. Admin. Code § 5-20-240
Derived from Rule 301, Case No. SEC810005, eff. July 1, 1981; amended, Virginia Register Volume 13, Issue 25, eff. September 1, 1997; Volume 17, Issue 20, eff. July 1, 2001; Volume 19, Issue 23, eff. July 1, 2003.

Statutory Authority

§§ 12.1-13 and 13.1-523.1 of the Code of Virginia.

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