AGENCY SUMMARY
The Securities Act authorizes the commission to register broker-dealers, agents, investment advisors, investment advisor representatives and financial planners who provide investment advisory services; to register and exempt securities offered or sold in the Commonwealth; to require filings or submission of information; and to enjoin, order restitution, and/or impose monetary penalties and fines against persons found to have violated the provisions of the Act. Code of Virginia, Title 13.1, Chapter 5. The Retail Franchising Act authorizes the commission to register franchises to be offered or sold in the Commonwealth and to enjoin and/or impose monetary penalties against persons found to have violated the provisions of the Act. Code of Virginia, Title 13.1, Chapter 8. The commission is also charged with administration of the Virginia Trademark and Service Mark Act and related statutes. Code of Virginia, Title 59.1, Chapters 6.1 and 7.
Regulations are available at the division's office in the Tyler Building, 9th Floor, 1300 East Main Street, P.O. Box 1197, Richmond, VA 23218, or are available at the division's website at http://www.scc.virginia.gov/srf/index.aspx.
Rev. 10/2014
AGENCY SUMMARY
The Securities Act authorizes the commission to register broker-dealers, agents, investment advisors, investment advisor representatives and financial planners who provide investment advisory services; to register and exempt securities offered or sold in the Commonwealth; to require filings or submission of information; and to enjoin, order restitution, and/or impose monetary penalties and fines against persons found to have violated the provisions of the Act. Code of Virginia, Title 13.1, Chapter 5. The Retail Franchising Act authorizes the commission to register franchises to be offered or sold in the Commonwealth and to enjoin and/or impose monetary penalties against persons found to have violated the provisions of the Act. Code of Virginia, Title 13.1, Chapter 8. The commission is also charged with administration of the Virginia Trademark and Service Mark Act and related statutes. Code of Virginia, Title 59.1, Chapters 6.1 and 7.
Regulations are available at the division's office in the Tyler Building, 9th Floor, 1300 East Main Street, P.O. Box 1197, Richmond, VA 23218, or are available at the division's website at http://www.scc.virginia.gov/srf/index.aspx.
Rev. 10/2014
