21 Va. Admin. Code § 5-20-140

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

Section 21VAC5-20-140 - Changing connection from one broker-dealer to another

A broker-dealer agent who changes connection from one broker-dealer to another shall comply with 21VAC5-20-90.

Derived from Rule 213, Case No. SEC810005, eff. July 1, 1981; amended by Case No. SEC840009, eff. July 2, 1984; Case No. SEC890040, eff. July 1, 1989.

Statutory Authority

§ 13.1-523 of the Code of Virginia.