Part IV - Broker-Dealer and Agent Regulations
- § 21VAC5-20-230 - Notice of civil, criminal, administrative or arbitrational action
- § 21VAC5-20-240 - Books and records of broker-dealers
- § 21VAC5-20-250 - Repealed
- § 21VAC5-20-260 - Supervision of agents
- § 21VAC5-20-270 - Repealed
- § 21VAC5-20-280 - Prohibited business conduct
- § 21VAC5-20-285 - Customer notice for designated securities
- § 21VAC5-20-290 - Financial responsibility
- § 21VAC5-20-300 - Net worth
- § 21VAC5-20-310 - Reserve requirements and custody of customer funds and securities
- § 21VAC5-20-320 - Clerical or ministerial services
- § 21VAC5-20-330 - Model rules for sales of securities at financial institutions
- § - DOCUMENTS INCORPORATED BY REFERENCE (21VAC5-20)
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.
- 21VAC5-20-230 - Notice of civil, criminal, administrative or arbitrational action.
- 21VAC5-20-240 - Books and records of broker-dealers.
- 21VAC5-20-250 - (Repealed.)
- 21VAC5-20-260 - Supervision of agents.
- 21VAC5-20-270 - (Repealed.)
- 21VAC5-20-280 - Prohibited business conduct.
- 21VAC5-20-285 - Customer notice for designated securities.
- 21VAC5-20-290 - Financial responsibility.
- 21VAC5-20-300 - Net worth.
- 21VAC5-20-310 - Reserve requirements and custody of customer funds and securities.
- 21VAC5-20-320 - Clerical or ministerial services.
- 21VAC5-20-330 - Model rules for sales of securities at financial institutions.