All broker-dealer applicants and registrants subject to the net capital provisions of 21VAC5-20-290 B shall be required to prepare and maintain such records and accounts as specified in, and to comply in all other respects with, the provisions of Rule 15c3-3 under the Securities Exchange Act of 1934 (17 CFR 240.15c3-3).

Statutory Authority

§ 13.1-523 of the Code of Virginia.

Historical Notes

Derived from Rule 308, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC890040, eff. July 1, 1989.