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Virginia Administrative Code (Last Updated: January 10, 2017) |
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Title 21. Securities and Retail Franchising |
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Agency 5. State Corporation Commission, Division of Securities and Retail Franchising |
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Chapter 20. Broker-Dealers, Broker-Dealer Agents and Agents of the Issuer |
Section 140. Changing connection from one broker-dealer to another
Latest version.
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A broker-dealer agent who changes connection from one broker-dealer to another shall comply with 21VAC5-20-90.
Historical Notes
Derived from Rule 213, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC840009, eff. July 2, 1984; Case No. SEC890040, eff. July 1, 1989.
Statutory Authority
§ 13.1-523 of the Code of Virginia.