Section 10. Application for registration as an investment advisor and notice filing as a federal covered advisor

Section 20. Expiration

Section 30. Renewals

Section 40. Updates and amendments

Section 50. Termination of registration and notice filings

Section 60. Investment advisor merger or consolidation

Section 65. Investment advisor records retention requirements

Section 70. Application for registration as an investment advisor representative

Section 80. Expiration

Section 90. Renewals

Section 100. Updates and amendments

Section 110. Termination of registration

Section 120. Changing a connection from one investment advisor or federal covered advisor to another

Section 130. Examination/qualification

Section 140. [Repealed]

Section 145. [Repealed]

Section 146. Custody of client funds or securities by investment advisors

Section 150. Agency cross transactions

Section 160. Recordkeeping requirements for investment advisors

Section 170. Supervision of investment advisor representatives

Section 180. Requirements for surety bonds and financial reporting

Section 190. Disclosure requirements

Section 200. Dishonest or unethical practices

Section 210. Exclusions from definition of "investment advisor" and "federal covered advisor"

Section 215. Exemption for certain private advisors

Section 220. Performance based fees

Section 230. Clarification of investment advisor representative

Section 240. Investment advisor representative registration on behalf of other investment advisors or federal covered advisors

Section 250. Employment of investment advisor representative by more than one investment advisor or federal covered advisor

Appendix 9999. DOCUMENTS INCORPORATED BY REFERENCE (21VAC5-80)