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

21VAC5-20-310: Reserve requirements and custody of customer funds and securities

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

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).

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

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