§ 140

21 Va. Admin. Code § 5-20-140

Changing connection from one broker-dealer to another.

Effective Jul 1, 1989§ 13.1-523 of the Code of Virginia.State Corporation Commission, Division of Securities And Retail Franchising

A broker-dealer agent who changes connection from one broker-dealer to another shall comply with 21VAC5-20-90.

Statutory Authority

§ 13.1-523 of the Code of Virginia.

Historical Notes

Derived from Rule 213, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC840009, eff. July 2, 1984; Case No. SEC890040, eff. July 1, 1989.