21 Va. Admin. Code § 5-20-120

Current through Register Vol. 41, No. 4, October 8, 2024

Section 21VAC5-20-120 - Updates and amendments

A broker-dealer agent shall amend or update Form U4 as required by the "Amendment Filings" provisions set forth under "How to Use Form U4." All filings shall be made on CRD for agents of FINRA member firms or with the commission at its Division of Securities and Retail Franchising for all other broker-dealer agents.

21 Va. Admin. Code § 5-20-120

Derived from Rule 211, Case No. SEC890040, eff. July 1, 1989; amended, Virginia Register Volume 17, Issue 20, eff. July 1, 2001; Volume 29, Issue 20, eff. June 3, 2013.

Statutory Authority

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