Section 10. Application for registration as a broker-dealer

Section 20. Expiration

Section 30. Renewals

Section 40. Updates and amendments

Section 50. Termination of registration

Section 60. Broker-dealer merger or consolidation

Section 65. Broker-dealer records retention requirements

Section 70. Examinations/qualifications

Section 80. Financial statements and reports

Section 85. Limited Canadian broker-dealer registration

Section 90. Application for registration as a broker-dealer agent

Section 95. Employment of an agent by more than one broker-dealer

Section 100. Expiration

Section 110. Renewals

Section 120. Updates and amendments

Section 130. Termination of registration

Section 135. Continuing commission by retiring agents

Section 140. Changing connection from one broker-dealer to another

Section 150. Examination/qualification

Section 155. Limited Canadian broker-dealer agent registration

Section 160. Application for registration as an agent of the issuer

Section 170. Expiration

Section 180. Renewals

Section 190. Updates and amendments

Section 200. Termination of registration

Section 210. Changing connection from one issuer to another

Section 220. Examination/qualification; waiver of examination requirement

Section 225. Inspection of records

Section 230. Notice of civil, criminal, administrative or arbitrational action

Section 240. Books and records of broker-dealers

Section 250. [Repealed]

Section 260. Supervision of agents

Section 270. [Repealed]

Section 280. Prohibited business conduct

Section 285. Customer notice for designated securities

Section 290. Financial responsibility

Section 300. Net worth

Section 310. Reserve requirements and custody of customer funds and securities

Section 320. Clerical or ministerial services

Section 330. Model rules for sales of securities at financial institutions

Appendix 9999. DOCUMENTS INCORPORATED BY REFERENCE (21VAC5-20)