Agency 5 - STATE CORPORATION COMMISSION

  1. Chapter 10 - GENERAL ADMINISTRATION - SECURITIES ACT (§ 21VAC5-10-10 to 21VAC5-10-40)
  2. Chapter 20 - BROKER-DEALERS, BROKER-DEALER AGENTS AND AGENTS OF THE ISSUER (Part I to IV)
  3. Chapter 30 - SECURITIES REGISTRATION (§ 21VAC5-30-10)
  4. Chapter 40 - EXEMPT SECURITIES AND TRANSACTIONS (§ 21VAC5-40-10 to 21VAC5-40-200)
  5. Chapter 45 - FEDERAL COVERED SECURITIES (§ 21VAC5-45-10 to 21VAC5-45-40)
  6. Chapter 50 - REGISTRATION REGULATIONS [REPEALED] (§ 21VAC5-50-10 to 21VAC5-50-230)
  7. Chapter 60 - REPORTS (§ 21VAC5-60-10 to 21VAC5-60-20)
  8. Chapter 70 - OPTIONS AND WARRANTS [REPEALED] (§ 21VAC5-70-10)
  9. Chapter 80 - INVESTMENT ADVISORS (Part I to V)
  10. Chapter 85 - FORMS - SECURITIES ACT [REPEALED] (§ 21VAC5-85-10)
  11. Chapter 90 - VIRGINIA STATE CORPORATION COMMISSION VIRGINIA RETAIL FRANCHISING ACT RULES AND FORMS [REPEALED] (§ 21VAC5-90-10 to 21VAC5-90-370)
  12. Chapter 100 - DISCLOSURE OF INFORMATION OR DOCUMENTS BY COMMISSION (§ 21VAC5-100-10)
  13. Chapter 110 - RETAIL FRANCHISING ACT RULES (§ 21VAC5-110-10)
  14. Chapter 120 - VIRGINIA TRADEMARK AND SERVICE MARK ACT (Part I to IV)

Current through Register Vol.. 38, No. 17, April 11, 2022

AGENCY SUMMARY

The Securities Act authorizes the commission to register broker-dealers, agents, investment advisors, investment advisor representatives and financial planners who provide investment advisory services; to register and exempt securities offered or sold in the Commonwealth; to require filings or submission of information; and to enjoin, order restitution, and/or impose monetary penalties and fines against persons found to have violated the provisions of the Act. Code of Virginia, Title 13.1, Chapter 5. The Retail Franchising Act authorizes the commission to register franchises to be offered or sold in the Commonwealth and to enjoin and/or impose monetary penalties against persons found to have violated the provisions of the Act. Code of Virginia, Title 13.1, Chapter 8. The commission is also charged with administration of the Virginia Trademark and Service Mark Act and related statutes. Code of Virginia, Title 59.1, Chapters 6.1 and 7.

Regulations are available at the division's office in the Tyler Building, 9th Floor, 1300 East Main Street, P.O. Box 1197, Richmond, VA 23218, or are available at the division's website at http://www.scc.virginia.gov/division/srf/.

Rev. 12/2012

The following state regulations pages link to this page.