Section 230. Clarification of investment advisor representative

Latest version.

Part V. Miscellaneous

For purposes of clause (iv) of the definition of "investment advisor representative" in § 13.1-501 of the Act, an individual is deemed to have prepared reports or analyses concerning securities if that individual is identified to a client as having prepared such reports or analyses.

Historical Notes

Derived from Rule 1400, Case No. SEC920008, eff. October 15, 1992.

Statutory Authority

§ 13.1-523 of the Code of Virginia.

                    
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