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Broker-Dealers | Midpage
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Virginia Administrative Code
Title 21
5
Chapter 20
Part I
Broker-Dealers
10
Application for registration as a broker-dealer.
20
Expiration.
30
Renewals.
40
Updates and amendments.
50
Termination of registration.
60
Broker-dealer merger or consolidation.
65
Broker-dealer records retention requirements.
70
Examinations/qualifications.
80
Financial statements and reports.
85
Limited Canadian broker-dealer registration.