Virginia regulations · Through 2026 Regular Session (effective July 1, 2026)

21VAC5-20-120: Updates and amendments

Where this section sits in the code

Title 21. Securities And Retail Franchising
Agency 5. State Corporation Commission, Division of Securities And Retail Franchising
Chapter 20. Broker-Dealers, Broker-Dealer Agents and Agents of the Issuer
Part II. Broker-Dealer Agents

A broker-dealer agent shall amend or update Form U4 as information becomes inaccurate. A Form U4 must be filed within 30 days of an amendment or update. All filings shall be made on CRD for agents of FINRA member firms or with the commission at its Division of Securities and Retail Franchising for all other broker-dealer agents.

Collected 2026-09-14T04:53:33Z. Source file · JSON

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