Chapter 20 - BROKER-DEALERS, BROKER-DEALER AGENTS AND AGENTS OF THE ISSUER
The following state regulations pages link to this page.
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
- Part I - Broker-Dealers (21VAC5-20-10 to 21VAC5-20-85)
- Part II - Broker-Dealer Agents (21VAC5-20-90 to 21VAC5-20-155)
- Part III - Agents of the Issuer (21VAC5-20-160 to 21VAC5-20-225)
- Part IV - Broker-Dealer and Agent Regulations (21VAC5-20-230 to 21VAC5-20-330)
- FORMS - FORMS (21VAC5-20)
- DIBR - DOCUMENTS INCORPORATED BY REFERENCE (21VAC5-20)