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

21VAC5-20-240: Books and records of broker-dealers

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 IV. Broker-Dealer and Agent Regulations

Every broker-dealer registered or required to be registered under the Act shall make and keep true, accurate and current, and preserve the books and records relating to its business, as are described in SEC Rules 17a-3 (17 CFR 240.17a-3) and 17a-4 (17 CFR 240.17a-4), or Municipal Securities Rule Making Board (MSRB) Rules G7 and G8.

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

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