21 Va. Admin. Code § 5-20-50

Current through Register Vol. 41, No. 6, November 4, 2024

Section 21VAC5-20-50 - Termination of registration

A. When a FINRA member broker-dealer desires to terminate its registration, it shall file Form BDW in compliance with all requirements of CRD and in full compliance with the regulations prescribed by the commission.

B. Any non-FINRA member broker-dealer shall file a Form BDW with the commission at its Division of Securities and Retail Franchising.

21 Va. Admin. Code § 5-20-50

Derived from Rule 204, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC890040, eff. July 1, 1989; Volume 29, Issue 20, eff. June 3, 2013.

Statutory Authority

§ 13.1-523 of the Code of Virginia.