Broker-Dealer and Agent Regulations | Midpage

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Virginia Administrative Code

Part IV

Broker-Dealer and Agent Regulations

230Notice of civil, criminal, administrative or arbitrational action.240Books and records of broker-dealers.260Supervision of agents.280Prohibited business conduct.285Customer notice for designated securities.290Financial responsibility.300Net worth.310Reserve requirements and custody of customer funds and securities.320Clerical or ministerial services.330Model rules for sales of securities at financial institutions.9998Forms (21Vac5-20).9999Documents Incorporated by Reference (21Vac5-20).