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Investment Advisor, Federal Covered Advisor, and Investment Advisor Representative Regulations | Midpage
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Virginia Administrative Code
Title 21
5
Chapter 80
Part III
Investment Advisor, Federal Covered Advisor, and Investment Advisor Representative Regulations
146
Custody of client funds or securities by investment advisors.
150
Agency cross transactions.
160
Recordkeeping requirements for investment advisors.
170
Supervision of investment advisor representatives.
180
Requirements for surety bonds and financial reporting.
190
Disclosure requirements.
200
Dishonest or unethical practices.