GroundRules
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- 21VAC5-80-10 · Application for registration as an investment advisor and notice filing as a federal covered advisor
- 21VAC5-80-20 · Expiration
- 21VAC5-80-30 · Renewals
- 21VAC5-80-40 · Updates and amendments
- 21VAC5-80-50 · Termination of registration and notice filings
- 21VAC5-80-60 · Investment advisor merger or consolidation
- 21VAC5-80-65 · Investment advisor records retention requirements
- 21VAC5-80-70 · Application for registration as an investment advisor representative
- 21VAC5-80-80 · Expiration
- 21VAC5-80-90 · Renewals
- 21VAC5-80-100 · Updates and amendments
- 21VAC5-80-110 · Termination of registration
- 21VAC5-80-120 · Changing a connection from one investment advisor or federal covered advisor to another
- 21VAC5-80-130 · Examination/qualification
- 21VAC5-80-146 · Custody of client funds or securities by investment advisors
- 21VAC5-80-150 · Agency cross transactions
- 21VAC5-80-160 · Recordkeeping requirements for investment advisors
- 21VAC5-80-170 · Supervision of investment advisor representatives
- 21VAC5-80-180 · Requirements for surety bonds and financial reporting
- 21VAC5-80-190 · Disclosure requirements
- 21VAC5-80-200 · Dishonest or unethical practices
- 21VAC5-80-210 · Exclusions from definition of "investment advisor" and "federal covered advisor"
- 21VAC5-80-215 · Exemption for certain private advisors
- 21VAC5-80-220 · Performance based fees
- 21VAC5-80-230 · Clarification of investment advisor representative
- 21VAC5-80-240 · Investment advisor representative registration on behalf of other investment advisors or federal covered advisors
- 21VAC5-80-250 · Employment of investment advisor representative by more than one investment advisor or federal covered advisor
- 21VAC5-80-260 · Information security and privacy
- 21VAC5-100-10 · Disclosure of confidential information
- 21VAC5-110-10 · Definitions
- 21VAC5-110-20 · Preliminary statement
- 21VAC5-110-30 · Registration application; documents to file; interim financial statements
- 21VAC5-110-40 · Pre-effective and post-effective amendments to the registration
- 21VAC5-110-50 · Expiration; application to renew the registration; interim financial statements
- 21VAC5-110-55 · The Franchise Disclosure Document
- 21VAC5-110-60 · Automatic effectiveness (optional)
- 21VAC5-110-65 · Escrow, deferral, and surety bond
- 21VAC5-110-70 · Consent to service of process
- 21VAC5-110-75 · Exemptions
- 21VAC5-110-80 · General requirements for preparation of disclosure documents; master franchises; electronic disclosure
- 21VAC5-110-85 · Disclosure of confidential information
- 21VAC5-110-95 · Requirements for Franchise Disclosure Document preparation
- 21VAC5-120-10 · Definitions
- 21VAC5-120-20 · Authority; severability
- 21VAC5-120-30 · Classification of regulatory standards
- 21VAC5-120-40 · Application of regulations
- 21VAC5-120-50 · Application for registration
- 21VAC5-120-60 · Expiration
- 21VAC5-120-70 · Renewals
- 21VAC5-120-80 · Assignments and name change
- 21VAC5-120-90 · Cancellation procedures
- 21VAC5-120-100 · Classification of goods and services
- 22VAC5-20-10 · Renumbered as 22VAC30-60-10
- 22VAC5-20-20 · Renumbered as 22VAC30-60-20
- 22VAC5-20-30 · Renumbered as 22VAC30-60-30
- 22VAC5-20-40 · Renumbered as 22VAC30-60-40
- 22VAC5-20-50 · Renumbered as 22VAC30-60-50
- 22VAC5-20-60 · Renumbered as 22VAC30-60-60
- 22VAC5-20-70 · Renumbered as 22VAC30-60-70
- 22VAC5-20-80 · Renumbered as 22VAC30-60-80
- 22VAC5-20-90 · Renumbered as 22VAC30-60-90
- 22VAC5-20-100 · Renumbered as 22VAC30-60-100
- 22VAC5-20-120 · Renumbered as 22VAC30-60-110
- 22VAC5-20-130 · Renumbered as 22VAC30-60-120
- 22VAC5-20-140 · Renumbered as 22VAC30-60-130
- 22VAC5-20-150 · Renumbered as 22VAC30-60-140
- 22VAC5-20-160 · Renumbered as 22VAC30-60-150
- 22VAC5-20-170 · Renumbered as 22VAC30-60-160
- 22VAC5-20-180 · Renumbered as 22VAC30-60-170
- 22VAC5-20-190 · Renumbered as 22VAC30-60-180
- 22VAC5-20-200 · Renumbered as 22VAC30-60-190
- 22VAC5-20-210 · Renumbered as 22VAC30-60-200
- 22VAC5-20-220 · Renumbered as 22VAC30-60-210
- 22VAC5-20-230 · Renumbered as 22VAC30-60-220
- 22VAC5-20-240 · Renumbered as 22VAC30-60-230
- 22VAC5-20-250 · Renumbered as 22VAC30-60-240
- 22VAC5-20-260 · Renumbered as 22VAC30-60-250
- 22VAC5-20-270 · Renumbered as 22VAC30-60-260
- 22VAC5-20-280 · Renumbered as 22VAC30-60-270
- 22VAC5-20-290 · Renumbered as 22VAC30-60-280
- 22VAC5-20-300 · Renumbered as 22VAC30-60-290
- 22VAC5-20-310 · Renumbered as 22VAC30-60-300
- 22VAC5-20-320 · Renumbered as 22VAC30-60-310
- 22VAC5-20-330 · Renumbered as 22VAC30-60-320
- 22VAC5-20-340 · Renumbered as 22VAC30-60-330
- 22VAC5-20-350 · Renumbered as 22VAC30-60-340
- 22VAC5-20-360 · Renumbered as 22VAC30-60-350
- 22VAC5-20-370 · Renumbered as 22VAC30-60-360
- 22VAC5-20-380 · Renumbered as 22VAC30-60-370
- 22VAC5-20-390 · Renumbered as 22VAC30-60-380
- 22VAC5-20-400 · Renumbered as 22VAC30-60-390
- 22VAC5-20-410 · Renumbered as 22VAC30-60-400
- 22VAC5-20-420 · Renumbered as 22VAC30-60-410
- 22VAC5-20-430 · Renumbered as 22VAC30-60-420
- 22VAC5-20-440 · Renumbered as 22VAC30-60-430
- 22VAC5-20-450 · Renumbered as 22VAC30-60-440
- 22VAC5-20-460 · Renumbered as 22VAC30-60-450
- 22VAC5-20-470 · Renumbered as 22VAC30-60-460
- 22VAC5-20-480 · Renumbered as 22VAC30-60-470
- 22VAC5-20-490 · Renumbered as 22VAC30-60-480