GroundRules
21VAC5-20-40: 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 I. Broker-Dealers
A. A FINRA member broker-dealer shall update its Form BD as required by Form BD instructions and shall file all such amendments on and in compliance with all requirements of CRD and in full compliance with the regulations prescribed by the commission.
B. Any non-FINRA member broker-dealer shall update its Form BD as required by Form BD instructions and shall file all such amendments with the commission at its Division of Securities and Retail Franchising.
C. All broker-dealers must have at least one agent registered in Virginia as long as the firm maintains its registration.
Collected 2026-09-14T04:53:33Z. Source file · JSON