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

Latest version.

An investment advisor representative who changes connection from one investment advisor or federal covered advisor to another shall comply with 21VAC5-80-70.

Historical Notes

Derived from Rule 1105, Case No. SEC870040, eff. July 2, 1987; amended by Case No. SEC890040, eff. July 1, 1989; Volume 13, Issue 25, eff. September 1, 1997.

Statutory Authority

§§ 12.1-13 and 13.1-523 of the Code of Virginia.

                    
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